FILE PHOTO: Commissioner Elad Roisman participates in a U.S Securities and Exchange Commission open meeting to propose changing its decades-old definition of an “accredited investor”…
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Citadel Securities sues SEC over approval of new stock-order type
(Reuters) – Citadel Securities, which provides trading services to asset managers, banks, broker-dealers and hedge funds, has sued the Securities and Exchange Commission over its…
U.S. SEC official says closely watching exchange spat with New Jersey
NEW YORK (Reuters) – The U.S. Securities and Exchange Commission is closely watching a plan being considered by U.S. stock exchanges to move their main…
SEC official says closely watching exchange spat with New Jersey
NEW YORK (Reuters) – A plan being considered by U.S. stock exchanges to leave New Jersey, where the bourses’ main electronic trading systems are located,…
JPMorgan broker subsidiary admits to manipulative trading in U.S. Treasuries, agrees to pay $35 million in SEC order
FILE PHOTO: A J.P. Morgan logo is seen in New York City, U.S., January 10, 2017. REUTERS/Stephanie Keith/File PhotoWASHINGTON (Reuters) – The U.S. Securities and…
U.S. SEC proposes new rules to alleviate electronic trading risk to fixed-income market
FILE PHOTO: A general exterior view of the U.S. Securities and Exchange Commission (SEC) headquarters in Washington, June 24, 2011. REUTERS/Jonathan Ernst/WASHINGTON (Reuters) – The…
U.S. markets regulator approves raising shareholder proposal thresholds
NEW YORK (Reuters) – The U.S. Securities and Exchange Commission voted 3-2 on Wednesday to make it tougher for shareholders to push companies on issues…
SEC to vote on expanded tipster program to consider more bounties, but with heightened conditions
FILE PHOTO: The U.S. Securities and Exchange Commission logo adorns an office door at the SEC headquarters in Washington, June 24, 2011. REUTERS/Jonathan Ernst/File PhotoWASHINGTON…
Exclusive: U.S. regulator to relax proposed whistleblower caps, tighter tip deadlines – sources
WASHINGTON (Reuters) – The U.S. securities regulator is poised to walk back a proposal to impose discretionary caps on whistleblower awards and tighten deadlines for…
U.S. SEC to examine Rio Tinto whistleblower claims over Oyu Tolgoi – FT
(Reuters) – The U.S. Securities and Exchange Commission is examining claims from a whistleblower that Rio Tinto (RIO.AX) was aware of problems at its underground…