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Home Tags Securities and Exchange Commission (SEC)

Tag: Securities and Exchange Commission (SEC)

Raymond Chun, incoming CEO, TD Bank

TD’s Masrani steps down amid regulatory turmoil; Chun named successor

Lucy Carter - September 20, 2024 0
Gurbir Grewal, director of division of enforcement, SEC

Firms hit with CFTC, SEC recordkeeping and communication failure fines 

Alex Pugh - August 15, 2024 0
Gary Gensler, chairman, SEC

SEC proposes joint data standards

Alex Pugh - August 7, 2024 0

Row erupts as CBOE seeks to define exchange boundaries

Dan Barnes - July 22, 2024 0
Eric Werner, SEC

Regulatory Round-up June

Alex Pugh - June 27, 2024 0

The new GameStop surge: Is this time different?

Alex Pugh - June 4, 2024 0
Gary Gensler, chairman, SEC

Regulatory Round-Up

Alex Pugh - May 16, 2024 0
Eric Werner, SEC

Senvest Management hit with $6.5m recordkeeping fine

Alex Pugh - April 4, 2024 0
James Pike, head of business development at Taskize

SEC issues T+1 risk alert 

Alex Pugh - March 28, 2024 0
FIX-EMEA-2024_T+1 panel

FIX EMEA: Why T+1?

Alex Pugh - March 12, 2024 0
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Global Trading is an industry-leading news service for the global equities capital markets: providing information, education, insights and analysis for senior professionals working within trading and execution across Europe, the UK, North America, APAC and other emerging markets. With a focus on the intersection between the buy and sell-sides, Global Trading covers all industry elements from technology and trading strategies to regulation, best execution, market structure and liquidity.

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