Trade execution

SEC charges CBOE for failing to prevent abusive short selling Fallback Image Decorative pattern

Industry

SEC charges CBOE for failing to prevent abusive short selling

The SEC has charged the Chicago Board Options Exchange (CBOE) and an affiliate for various systemic breakdowns in their regulatory and compliance functions as a self-regulatory organization, including a failure to enforce or even fully comprehend rules to prevent abusive short selling.

By Staff |June 12, 2013

5 min read

IIROC fines rep $35,000 for fictitious trades Fallback Image Decorative pattern

Industry

IIROC fines rep $35,000 for fictitious trades

An IIROC hearing panel found Jean-François Lemay simultaneously entered buy and sell orders for the benefit of the same person.

By Staff |June 5, 2013

1 min read

Nasdaq ramps up market oversight Fallback Image Decorative pattern

Industry

Nasdaq ramps up market oversight

Nasdaq OMX Group is ramping up its monitoring of its U.S. exchanges.

June 4, 2013

1 min read

Banks united by Bloomberg frustration Fallback Image Decorative pattern

Industry

Banks united by Bloomberg frustration

Frustration over Bloomberg brought Goldman Sachs and JPMorgan Chase together.

June 3, 2013

1 min read