Tag: Securities and Exchange Commission (SEC)
Citigroup Global Markets hit with $2.9m SEC underwriting expenses recordkeeping penalty
Citigroup Global Markets (CGMI) has settled a US$2.9 million penalty with the US Securities and Exchange Commission (SEC) for underwriting expenses recordkeeping violations.
The SEC...
Chatham Asset Management fined for improper bond trading
The Securities and Exchange Commission (SEC) has charged New Jersey-based Chatham Asset Management and its founder, Anthony Melchiorre, in connection with improper trading of...
SEC fines Bloomberg US$5 million for failure to disclose single quotes...
Market operator and data provider, Bloomberg, has been fined US$5 million by US market regulator the Securities and Exchange Commission (SEC) for failing to...
SEC’s proposals create competitive opportunities
Responses to the wide ranging proposals posited by the Securities and Exchange Commission (SEC) in US equity markets last week have raised questions but...
SEC – controversially – moves to standardise best execution rules for...
The Securities and Exchange Commission (SEC) is proposing new rules under the Securities Exchange Act of 1934 relating to a broker-dealer’s duty of best...
LGIM saves US clients’ trading costs but pays US$500k fine for...
Legal and General Investment Management Americas (LGIMA) has accepted a fine of US$500,000 for failing to comply with Securities and Exchange Commission (SEC) rules...
Unlocking Liquidity for the U.S. Treasury Markets
Unlocking Liquidity for the U.S. Treasury Markets
By MarketAxess | 22 November 2022
Advocating for all-to-all trading has always been the MarketAxess way, but lately, it...
‘Whatsapp’ fines for banks hit US$1.8 billion
US market regulators have collectively fined 15 broker-dealers, one affiliated investment adviser, plus the swap dealer and futures commission merchant (FCM) affiliates of 11...
Bloomberg forces SEC to provide cost analysis of primary issuance database
Bloomberg has had its case for the US Securities and Exchange Commission (SEC), to provide an analysis of the costs for a primary bond...
Bloomberg warns on SEC extending exchange rules into bond market communication...
In a letter penned by Bloomberg’s Gregory Babyak, global head of regulatory Affairs and Gary Stone regulatory analyst and market structure strategist, the market...
