Morgan Stanley fined $8 million for ETF trading failures
The SEC found Morgan Stanley failed to inform investors of risks related to the trading of inverse ETFs.
Tag: Securities and Exchange Commission
Ex-JP Morgan, Barclays and Citi traders charged with FX price fixing
Trading ‘Cartel’ charged with rigging FX spot market face up to 10 years in prison.
Trump opts for Wall Street lawyer for SEC chairman role
Donald Trump has nominated Jay Clayton as chair at the SEC.
SEC charges traders who made $26 million in stock manipulation
New Jersey based traders charged after manipulating over 2,000 traded stocks.
Enforcement director Ceresney latest to depart SEC
Andrew Ceresney announces departure from US regulator by the end of this year.
Nasdaq looks to reduce data fees for broker-dealers
Fierce competition among exchanges for data sees Nasdaq look to open up scope of data to investing public.
Virtu urges SEC to further scrutinise risks of ETFs
Virtu Financial describes the ETF market as ‘an area that deserves a closer look’ in letter to US regulator.
Trading director joins White in departure from SEC
Stephen Luparello announces departure from US regulator.
SEC’s White hopes regulator will continue to be ‘aggressive’
Chair at the SEC, Mary Jo White, announced departure from position earlier this month.
SEC fines JP Morgan $264 million for ‘systematic bribery’
US watchdog determined the bank had hired children of government officials in a ‘systematic bribery scheme’.