sec
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
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
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
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
Missouri Man Fined $30K Plus Disgorgement for Selling Stakes in Mining Earnings
Wednesday, 11/03/2015 | 12:51 GMT by
Leon Pick
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
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
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
Former ConvergEx CEO Craig Lax Settles with the SEC for $783,000
- The former chief executive of the U.S. brokerage has admitted wrongdoing and settled with authorities, as under his tenure the company mislead investors to get charged substantially above stated commissions.
Tuesday, 10/02/2015 | 22:21 GMT by
Victor Golovtchenko
Swarm Advised That Crowdsale Model Falls under Securities Laws, Seeks "Distributed Collaborative Organizations"
Tuesday, 10/02/2015 | 16:24 GMT by
Leon Pick
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