SEC vote brings US-EU closer to derivatives equivalency
Equivalency will ease the capital cost for European banks doing business with US CCPs.
Tag: SEC
Bats slams Nasdaq’s proposed data feed as attempt to increase revenues
Bats has urged the SEC to reject Nasdaq’s data feed proposal, claiming it is technically unnecessary, anti-competitive and unfounded.
SEC fines former trading boss at Goldman Sachs for ‘abusing his duty’
Head trader in RMBS at Goldman Sachs found to have misled clients over pricing and is fined $400,000.
NASDAQ’s Greifeld takes aim at SEC over IEX approval
CEO says SEC did not carry out responsibility, as the exchange launches extended life orders in response to IEX’s speed bumps.
NASDAQ, NYSE and Bats team up to take on SEC
The Exchanges have been working together on initiatives aimed at improving LULD and trading pause rules from the SEC.
SEC chairman and former NYSE chief joins IEX board
William Donaldson, former CEO at NYSE and chairman at the SEC has joined the board of directors at IEX.
SEC tightens rules to stamp out spoofing
The US Securities Exchange Commission (SEC) has rubber-stamped a change to clock synchronisation standards to stamp out market abuse and spoofing.
State Street bankers charged for secret commissions scheme
Former executives caught reaping millions of dollars of illicit profits from bank’s transition management business.
Credit Suisse and Barclays settle federal dark pool fines worth $150 million
Credit Suisse and Barclays to pay over $150 million in fines over dark pool charges, in largest ever penalty imposed by the SEC.
Liquidity “not an exact science” regulators warned
US asset managers warn against imposing overly strict rules on liquidity measurement.