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About 868 results for "us securities and exchange commission"

London Stock Exchange Derivatives Market to offer stock, depos...

Securities and Exchange Commission class no-action relief allows London Stock Exchange Derivatives Market, and its eligible members, to offer certain US investors a number of option contracts. Following an application to the SEC, London Stock ... Automated Trader, 4 days ago
No gold exchange soon Kitco, 15 hours ago

193 images for us securities and exchange commission

Investing.com, 1 week ago
CNBC, 1 week ago
Lawyer Herald, 1 week ago
Reuters UK, 1 week ago
Reuters, 1 week ago
Financial Express, 4 weeks ago
Business Insider, 1 week ago
Lawyer Herald, 3 weeks ago
Business Insider, 2 weeks ago
Examiner.com, 4 weeks ago
Asset Servicing Times

SEC Charges HSBC's Swiss Private Banking Unit With Providing Unregistered Services to U.S. Clients

Washington D.C., Nov. 25, 2014 — The Securities and Exchange Commission today charged HSBC's Swiss-based private banking arm with violating federal securities laws by failing to register with the SEC before providing cross-border brokerage and ...
 PressReleasePoint3 days ago HSBC Swiss Private Bank charged over US federal laws  Asset Servicing Times7 hours ago HSBC's Swiss Private Banking Unit Charged With Providing Unregistered Services To U.S. Clients  Pettinga Financial Advisors2 days ago HSBC : SEC Charges HSBC's Swiss Private Banking Unit With Providing Unregistered Services to U.S. Clients  4 Traders3 days ago
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Miami Herald

US exchanges will have to test trading systems

The Securities and Exchange Commission voted 5-0 Wednesday to require routine testing of exchanges' trading systems. The exchanges also will be required to notify the SEC about problems, including any systems that are compromised by hacking. Any ...
 Investor's Business Daily1 week ago U.S. stock exchanges will have to test electronic trading systems  Metro Canada1 week ago US stock exchanges will have to test trading systems, report problems under new SEC rules  680 News1 week ago US SEC preparing new rules to boost oversight of funds: Reports  Economic Times2 months ago
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International Business Times UK

HSBC Hit With $12.5m US Charge for Not Registering Swiss Private Banking Arm

The Securities and Exchange Commission hit HSBC's Swiss-based private banking arm with a $12.5m charge because it had not been registered with the regulator before offering cross-border brokerage and investment advisory services to US clients. The ...
 International Business Times UK2 days ago HSBC : Hit With $12.5m US Charge for Not Registering Swiss Private Banking Arm  4 Traders2 days ago

US Authorities Sanction Banking Giant HSBC for Breaching Federal Securities Laws

Authorities in the United States continue to showcase their strength and stature as the Securities and Exchange Commission reports charges against HSBC's Swiss Private Banking division. The financial regulator stated that it issued a monetary ...
 Forex Magnates3 days ago

Till Capital Files Registration Statement with U.S. Securities and Exchange Commission

body .nr-sub-head ul, .nr-body ul .nr-sub-head ol, .nr-body ol .nr-body p, .nr-body tbody H1 H2 H3 H1.nr-head H2.nr-sub-head .nr-body a TABLE Hamilton, Bermuda (FSCwire) - Till Capital Ltd. (TSX.V: TIL) (the Company or Till), a Bermuda ...
 Individual.com1 week ago TILL CAPITAL : Files Registration Statement With U. S. Securities and Exchange Commission  4 Traders1 week ago
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Tax regulatory fears mar sentiments of e-tailing firms

Over the weekend global e-tailer Amazon in a filing to the US Securities and Exchange Commission cautioned investors about issues related to interpretation of India's laws which could potentially impact its business plans.
 Money Control3 weeks ago
MSN India

Alibaba targets share sale in early September

Company is still waiting for approval from US Securities and Exchange Commission (SEC) to kick-off listing Reuters Hong Kong: Chinese e-commerce firm Alibaba Group Holding Ltd is planning to launch its New York stock market debut in the week of Sept. 8, a ...
 MSN India2 months ago
Asset Servicing Times

CBOE : Securities and Exchange Commission Issues Order Regarding the Application of Electronic Transaction Clearing, Inc.

WASHINGTON , Nov. 26 -- The Securities and Exchange Commission issued the following order: SECURITIES EXCHANGE ACT OF 1934 Release No. 73698 / November 26, 2014 Admin. Proc. File No. 3-16285 In the Matter of the Application of ...
 4 Traders1 day ago SEC Adopts Rules to Improve Systems Compliance and Integrity Rules to Strengthen Technology Infrastructure of Securities Markets  JD Supra4 days ago SEC votes for more regulation in securities  Asset Servicing Times4 days ago U.S. SEC votes to adopt rules to protect exchanges from glitches  4 Traders1 week ago
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SPi World News

SONDE RESOURCES CORP. : Receives Delisting Notice from NYSE MKT and the Alberta Securities Commission issues a Cease Trade Order

Release date- 21112014 - CALGARY, ALBERTA - Sonde Resources Corp. (TSXV: SOQ) ( NYSE MKT : SOQ) announced today that on November 19, 2014 the Company received notice that the staff of NYSE Regulation, Inc. has determined to commence proceedings to ...
 4 Traders4 days ago Sonde Resources Corp. Receives Delisting Notice from NYSE MKT and the Alberta Securities Commission Issues a Cease Trade Order  Stockwatch1 week ago Sonde Resources : Receives Delisting Notice from NYSE MKT and the Alberta Securities Commission Issues a Cease Trade Order  4 Traders1 week ago (MKTW) Sonde Resources Corp. Receives Delisting Notice from NYSE MKT and the Alberta Securities Commission Issues a Cease Trade Order  Scottrade1 week ago
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