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About 915 results for "us securities and exchange commission"

NYSE to run software tests for trading firms ahead of Alibaba IPO
Sify

Taberna Capital Management to Settle with the U.S. Securities ...

RAIT Financial Trust (NYSE: RAS) (RAIT) today announced an agreement in principle with the staff of the U.S. Securities and Exchange Commission (the SEC) to resolve a non-public SEC investigation concerning Taberna Capital Management, LLC (TCM), ... Stock Nod, 3 days ago
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Reuters UK, 1 week ago
CFO.com, 1 week ago
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Business Insider, 2 weeks ago
Public News Service, 2 weeks ago
JD Supra, 6 days ago
Pique News Magazine, 1 month ago
SPi World News, 5 days ago
JD Supra, 5 days ago

Securities and Exchange Commission imposes record $16 million penalty on Latour high frequency firm

The high frequency trading firm agreed to pay a record $16 million penalty to settle a US case accusing it of violating a rule that requires broker-dealers to maintain minimum levels of net liquid assets or net capital. The SEC on Wednesday said ...
 Economic Times2 days ago AFP - US-SEC-stocks-exchange-fine-Latour  Namibia Press Agency2 days ago AFP - US-stocks-regulator-insider-offbeat  Namibia Press Agency9 hours ago US high-speed trading firm fined $16m  News242 days ago
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US SEC preparing new rules to boost oversight of funds: Reports

The US Securities and Exchange Commission (SEC) is preparing new rules to boost oversight of mutual funds and hedge funds. The US Securities and Exchange Commission (SEC) is preparing new rules to boost oversight of mutual funds and hedge funds as part of an ...
 Economic Times1 week 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 weeks ago
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Citi says SEC has closed probe of mortgage bonds

Citigroup Inc. says it's been told by the Securities and Exchange Commission that the agency has completed its investigation of the bank's conduct regarding mortgage bonds and won't bring further enforcement action. Citigroup said in a regulatory filing ...
 Sify1 month ago Facebook says SEC's IPO probe ends, extending WhatsApp closing date  Business Standard1 month ago
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Regulator seeks tough penalty for tax evasion case

The Securities and Exchange Commission wants to make an example of two Texas brothers found by a jury at a civil trial to have acted fraudulently to evade taxes, but a defense lawyer said Wednesday that the more than $750 million sought by the government is ...
 Sify1 month ago
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SEC launched extensive probe to identify sources in Reuters stories

By Paritosh Bansal and Jason Lange NEW YORK/WASHINGTON (Reuters) - A U.S. Securities and Exchange Commission watchdog conducted an extensive, months-long investigation to find out who had leaked information that appeared in two Reuters stories published last ...
 Sify1 month ago

US securities and exchange commission poised to adopt reforms for money market funds

US regulators are expected to adopt rules that force "prime" money market funds used by large institutions to float their share price. WASHINGTON: US regulators are expected to adopt rules on Wednesday that force "prime" money market funds used by large ...
 Economic Times1 month ago
Reuters

Rengan Rajaratnam, SEC in talks to resolve civil claims: filing

NEW YORK (Reuters) - The U.S. Securities and Exchange Commission and Rengan Rajaratnam, the younger brother of convicted Galleon Group founder Raj Rajaratnam, on Thursday asked a judge to stay the regulator's civil lawsuit for 60 days while they try ...
 Business Standard2 months ago Rengan Rajaratnam cleared, US insider trading streak snapped  The Financial Chronicle2 months ago
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Exclusive - U.S. SEC official dissented on BNP Paribas waiver

By Sarah N. Lynch WASHINGTON (Reuters) - An official at the U.S. Securities and Exchange Commission broke ranks with other commissioners and voted against granting BNP Paribas a waiver to continue operating several investment advisory units in the United ...
 Sify2 months ago US SEC official dissented on BNP Paribas waiver  Business Standard2 months ago
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