FM Home
> Sec
Europe's Economic Crossroads: Recession Fears and S&P Global's
Education Center
Will Blockchain Technology Mark a Turning Point in Fraud
Education Center
7 Things We Wish Someone Had Told Us Before We Started Trading
Education Center
ATFX Trader Magazine: Your Q2 Market Compass Thought Leadership

sec

Search for a tag
Crowd Funding

KoreConX Launches Equity Crowdfunding Solution Following Title III Passage

  • The newly launched solution will help streamline a number of crowdfunding tasks for companies, reducing fees by corporate documentation
Thursday, 05/11/2015 | 09:36 GMT by Jeff Patterson
Regulation

UBS to Pay $19.5 Million Over Hedging Own FX Index

  • SEC: UBS employees were engaging in practices that had or could have had a negative impact on the price inputs used to calculate the V10 index.
Tuesday, 13/10/2015 | 19:50 GMT by Avi Mizrahi
News

SEC Sues Carlos Garza, Investigating If GAW Miners Was Ponzi Scheme

  • The SEC has sued Carlos Garza, a former employee of defunct GAW Miners and brother of former CEO Josh Garza.
Wednesday, 19/08/2015 | 10:15 GMT by Leon Pick
Regulation

As Hacking Scheme Ties Revealed, Concorde Postpones 'Forex Trend 2.0' Launch

  • 'Forex Trend 2.0' has been formally postponed, just one week after Concorde Capital found itself facing SEC charges for fraud.
Monday, 17/08/2015 | 13:28 GMT by Jeff Patterson
Regulation

Dark Days Ahead for Dark Pool Users as SEC Charges ITG with Misconduct

  • The SEC has charged ITG with operating a secret trading desk and misusing the confidential trading information of dark pool subscribers.
Wednesday, 12/08/2015 | 15:11 GMT by Jeff Patterson
Regulation

Credit Suisse In Settlement Talks With SEC Over Dark Pool Misconduct

  • Credit Suisse is locked in settlement talks with US regulators over what could be a record fine levied for dark pool wrongdoing.
Tuesday, 11/08/2015 | 19:26 GMT by Jeff Patterson
Exchanges

SEC Approves BATS’ Q4 Launch Of EDGX Options Market

  • BATS’ EDGX Options is slated to open on November 2, 2015, which will be based in large part on a customer priority/pro rata allocation model
Monday, 10/08/2015 | 15:29 GMT by Jeff Patterson
Regulation

SEC Votes for Mandatory Reporting of CEO Salaries

  • The Securities and Exchange Commission has voted 3-2 in favour of a new ruling that requires listed firms to produce pay ratios.
Wednesday, 05/08/2015 | 17:03 GMT by Andy Traveller
Regulation

SEC Goes After Pimco Over Valuation of Mortgage-Backed Securities

  • Following a SEC investigation, Pimco is under fire on suspicion that it artificially boosted the performance of one of its ETF products.
Tuesday, 04/08/2015 | 17:05 GMT by Andy Traveller
Prime Brokerage

Former E-Trade COO Replaces Bob Gasser at the Helm of ITG after SEC Probe

  • The new CEO of the company will step in effective immediately on an interim basis while the board looks for a permanent appointee
Monday, 03/08/2015 | 21:37 GMT by Victor Golovtchenko
Executive Moves

Daniel Hawke Steps down as SEC’s Chief of Market Abuse Unit after 16 Years

  • The SEC veteran pioneered the unit's high-tech crack-down on market structure violations and complex insider trading schemes.
Thursday, 30/07/2015 | 12:10 GMT by Andy Traveller
Regulation

OZ Management LP Fined $4.25 Million For Misleading Data

  • The firm's dodgy data beleaguered the books of its four prime brokers and flowed into various SEC records and data.
Tuesday, 14/07/2015 | 15:54 GMT by Andy Traveller
Investing

SEC Allows Tweeting and Social Media for Fundraising

  • Private companies raising up to $50M got the green light from the SEC to use social media to promote their fundraising to investors
Monday, 29/06/2015 | 10:50 GMT by Ron Finberg
Crowd Funding

It’s Friday the 19th – Regulation A+ for Crowdfunding Goes into Effect

  • Equity crowdfunding for non-accredited investors in the US became legal today with Title IV of the JOBS Act, going into effect today.
Friday, 19/06/2015 | 10:01 GMT by Ron Finberg
Regulation

SEC Goes after Adviser Who Allegedly Stole $300,000 from Mike Tyson

  • SFX Financial Advisory Management Enterprises specializes in providing financial management services to professional athletes
Monday, 15/06/2015 | 20:22 GMT by Avi Mizrahi
Regulation

Major Banks on the Hook for Another $6 Bln in Forex Settlements

  • Barclays, Citigroup, JPMorgan Chase, RBS and UBS are expected to contribute $6 billon more to settle with U.S Department of Justice
Friday, 15/05/2015 | 20:16 GMT by Victor Golovtchenko
News

Overstock Intending to Issue Digital Securities in $500M SEC Filing

  • Overstock.com is looking to forge ahead with its bold plans for "cryptosecurities" detailing its plans in a recent filing with the SEC.
Tuesday, 28/04/2015 | 10:52 GMT by Leon Pick
Blogs

Stephonomics: FX Market Analysis: 'Last Look or Do Over’

  • In this blog analysis, Stephen Simonis takes a look at what is being debating in regards to ‘last look’ policies in the FX market
Tuesday, 14/04/2015 | 09:42 GMT by Stephen Simonis Senior
Crowd Funding

Should you be Excited about Retail Equity Crowdfunding Arriving to the US?

  • The SEC released rules for Title IV of the JOBS Act which paves the way for retail equity crowdfunding in the US this June.
Monday, 06/04/2015 | 13:06 GMT by Ron Finberg
Analysis

SEC Charges Unregistered Broker-Dealer Partners of Global Fixed Income

  • Global Fixed Income had effectively hired 21 unregistered broker-dealers to buy billions of dollars worth of newly issued bonds illegally between July 2009 and June 2012, promoting a $5 million settlement with the SEC.
Thursday, 26/03/2015 | 17:55 GMT by Victor Golovtchenko
Analysis

New US SEC Rule to Target HFT Proprietary Trading Shops

  • The U.S. financial regulator is proposing a new rule requiring active broker-dealers trading off-exchange products to become members of a national securities association, thereby enhancing regulatory oversight.
Thursday, 26/03/2015 | 11:10 GMT by Victor Golovtchenko
News

Missouri Man Fined $30K Plus Disgorgement for Selling Stakes in Mining Earnings

Wednesday, 11/03/2015 | 12:51 GMT by Leon Pick
Brokers

Alpari UK Depositors Reassured while US Investigates Last-Look Practice

  • Alpari UK depositors to be compensated up to £50,000, GAIN Capital's post-acquisition earnings, forex trading dangers, FastMatch offering free brokerage to certain clients and a last-look probe in this week's roundup.
Sunday, 08/03/2015 | 13:40 GMT by Kenny Mariasin
Execution

American Authorities Are Having a Look at Banks'"Last Look"

  • The U.S Justice Department and the Securities and Exchange Commission are investigating Barclays Plc over the procedure of last look allowing the bank to requote orders at the expense of its clients.
Tuesday, 03/03/2015 | 22:18 GMT by Avi Mizrahi
Analysis

Purported Venture Capital Fund Manager Charged By SEC with Fraud

  • Operating in a Ponzi-like fashion, Gregory Gray Jr. and his firms, Archipel Capital LLC and BIM Management LP, have allegedly defrauded a number of investors who were supposedly purchasing Twitter and Uber shares.
Saturday, 28/02/2015 | 14:29 GMT by Victor Golovtchenko
Next Previous
!"#$%&'()*+,-./0123456789:;<=>?@ABCDEFGHIJKLMNOPQRSTUVWXYZ[\]^_`abcdefghijklmnopqrstuvwxyz{|} !"#$%&'()*+,-./0123456789:;<=>?@ABCDEFGHIJKLMNOPQRSTUVWXYZ[\]^_`abcdefghijklmnopqrstuvwxyz{|}