Posts Tagged ‘exchange’
SEC proposes new rules to stall ‘flash crashes’
May 19th, 2010 | 
Author:
Exchanges would briefly halt trading of some stocks that have big prices swings under new trading rules aimed at avoiding market plunges and proposed by federal regulators.
Mary Schapiro - U.S. Securities and Exchange Commission - Business - Investing - Stocks and Bonds
Posted in Stocks Unit Trust ETF Investment | 
Tags: briefly, business, Commission, commission business, exchange, Exchanges, halt, investing stocks, market, market plunges, mary schapiro, Mary Schapiro - U, regulators, S. Securities, securities and exchange, securities and exchange commission, stocks and bonds, swings, trading | 
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SEC boss summons exchange execs to D.C.
Financial regulators have summoned the heads of major exchanges including the New York Stock Exchange Euronext and Nasdaq OMX Group to Washington on Monday.
NASDAQ OMX Group - New York Stock Exchange - Euronext - Investing - Business
Posted in Stocks Unit Trust ETF Investment |
Tags: business, Euronext, exchange, financial regulators, group, Monday, Nasdaq, New, new york stock, new york stock exchange, OMX, stock, Washington, York, york stock exchange |
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SEC employees surfed porn as economy fell
A memo by the inspector general reports 33 violations by senior employees of the Securities and Exchange Commission in five years.
US Securities and Exchange Commission - Inspector General - Business - Securities Exchange Commission - Ponzi scheme
Posted in Stocks Unit Trust ETF Investment |
Tags: Commission, exchange, general business, inspector, inspector general, Inspector General - Business, memo, ponzi, ponzi scheme, scheme, securities and exchange, securities and exchange commission, securities exchange commission |
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Don’t front-run, SGX warns brokers
THE Singapore Exchange (SGX) has warned brokers against profiting from inside information of pending customer orders.
SGX highlighted the practice of front-running – a trading misconduct that occurs when a broker does a personal trade on a stock on the knowledge that his client wants a trade executed on the stock later.
‘There is an opportunity to profit by trading in advance of customers’ large o… more
Posted in Singapore Financial News |
Tags: advance, broker, client, customer, customer orders, exchange, information, knowledge, misconduct, opportunity, personal trade, practice, SGX, Singapore, singapore exchange, stock, trade, trading |
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Some Claims Dismissed for Ex-Qwest Officials
A judge threw out some claims in a civil suit filed by the Securities and Exchange Commission against Qwest’s former chief, Joseph P. Nacchio, and others.
Posted in Options Trading |
Tags: chief, chief joseph, civil suit, Commission, exchange, Joseph P. Nacchio, judge, nacchio, Qwest, securities and exchange, securities and exchange commission, suit |
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$14 Million for Stanford Victims Fund
Sales of assets in Panama by the Securities and Exchange Commission will be used to repay investors in the suspected fraud by Stanford Financial Group.
Posted in Options Trading |
Tags: assets, Commission, exchange, Financial, financial group, fraud, group, investors, Panama, securities and exchange, securities and exchange commission, Stanford, stanford financial |
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