Search results for Securities And Exchange Commission

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Nasdaq to settle Facebook IPO lawsuit for $26.5 million | Reuters

Apr 24, 2015

Nasdaq to settle Facebook IPO lawsuit for $26.5 million | Reuters

for them."Separately, Nasdaq agreed in May 2013 to pay a record $10 million penalty to settle U.S. Securities and Exchange Commission charges over
Nasdaq to settle Facebook IPO lawsuit for $26.5 million | Reuters

Apr 24, 2015

Nasdaq to settle Facebook IPO lawsuit for $26.5 million | Reuters

for them."Separately, Nasdaq agreed in May 2013 to pay a record $10 million penalty to settle U.S. Securities and Exchange Commission charges over
Nasdaq sets aside $31 million for ongoing Facebook IPO claims| Reuters

Apr 23, 2015

Nasdaq sets aside $31 million for ongoing Facebook IPO claims| Reuters

in May 2013 to pay a record $10 million penalty to settle U.S. Securities and Exchange Commission charges over its alleged "poor systems and
'Flash crash' whistleblower may see multi-million dollar pay day| Reuters

Apr 23, 2015

'Flash crash' whistleblower may see multi-million dollar pay day| Reuters

at the U.S. Securities and Exchange Commission (SEC)."Financial regulators like the CFTC and SEC regularly demand disgorgement of illegal profits
UK speed trader arrested over role in 2010 'flash crash'| Reuters

Apr 22, 2015

UK speed trader arrested over role in 2010 'flash crash'| Reuters

CFTC and Securities and Exchange Commission found that one of the contributing factors in the flash crash was a computer-driven trade by a mutual fund
China fines Alibaba $129,000 for pricing violations| Reuters

Apr 18, 2015

China fines Alibaba $129,000 for pricing violations| Reuters

U.S. Securities and Exchange Commission had sought more information about a reported talk between its executives and China's State Administration for
Analysis - Probe of Ackman team over Herbalife campaign may go nowhere: legal experts

Mar 14, 2015

Analysis - Probe of Ackman team over Herbalife campaign may go nowhere: legal experts

.S. Securities and Exchange Commission often brings civil charges against the manipulators of penny stocks, which are most vulnerable to misinformation
Rajaratnam, Gupta seek to void U.S. insider trading penalties

Mar 10, 2015

Rajaratnam, Gupta seek to void U.S. insider trading penalties

is serving an 11-year prison term, is trying to void a $92.8 million penalty in a U.S. Securities and Exchange Commission civil case, while Gupta wants
Citigroup unit probed by more authorities over money laundering

Feb 26, 2015

Citigroup unit probed by more authorities over money laundering

filing with the U.S. Securities and Exchange Commission on Wednesday.The disclosure comes one year after Citigroup revealed a criminal probe by a federal
New ETFs look to counter rising rates with derivatives play

Feb 25, 2015

New ETFs look to counter rising rates with derivatives play

hedged funds in filing with the U.S. Securities and Exchange Commission. "We designed these products with the idea of providing a solution when the