SEC

SEC may become more aggressive Fallback Image Decorative pattern

Industry

SEC may become more aggressive

We may soon see intense SEC regulatory actions against large U.S. corporations.

By Philip Porado |March 18, 2013

3 min read

SEC charges 2 advisors with misleading investors Fallback Image Decorative pattern

Industry

SEC charges 2 advisors with misleading investors

The SEC has charged two investment advisers at Oppenheimer & Co. with misleading investors about valuation policies and performance.

By Staff |March 12, 2013

3 min read

SEC proposes rules for technological systems Fallback Image Decorative pattern

Industry

SEC proposes rules for technological systems

The Securities and Exchange Commission (SEC) has proposed new rules for market participants that will require them to put in place comprehensive policies and procedures with regards to their technological systems. According to an SEC release, the proposal, called Regulation SCI, would replace the current voluntary compliance program with enforceable rules designed to better insulate […]

By Staff |March 8, 2013

2 min read

Will RCMP monitor electronic trades? Fallback Image Decorative pattern

Industry

Will RCMP monitor electronic trades?

High-frequency trading in the U.S. is getting much heat from the FBI and SEC, who have teamed up against manipulative trading practices powered by ultra-sophisticated algorithmic strategies.

March 6, 2013

3 min read