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The SEC widened its crackdown on "naked shorting" by charging the Chicago Board Options Exchange with "systemic breakdowns" in the exchange's regulatory and compliance functions.
» Read More.160x105.JPG?v=1370963809 "More Brokers Seek to Wipe Slate Clean")
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*SEC says CBOE failed to police for short-selling abuses. *SEC says CBOE edited optionsXpress "Wells" notice reply. *CBOE says exchange is implementing remedial measures.
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WASHINGTON, June 11- The Chicago Board Options Exchange will pay a $6 million penalty and implement "major remedial measures" to settle civil charges alleging the exchange failed in its regulatory oversight duties and made numerous missteps in properly enforcing short sale rules, U.S. regulators said on Tuesday.
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NEW YORK, June 10- A Securities and Exchange Commission judge has ordered optionsXpress, its former chief financial officer and a customer to pay a total of $4.8 million in fines and to return $4.2 million for illegally selling shares they did not hold.
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NEW YORK, June 5- In a view that contrasts with pessimism at full-service brokerage firms, TD Ameritrade Holding Corp's chief executive said small investors are returning to trading stocks and options.
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WASHINGTON, June 5- A portion of the $2.6 trillion money market fund industry would be required to fundamentally change how it prices its shares under proposals issued by U.S. regulators on Wednesday to reduce the risk of abrupt withdrawals.
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The SEC plan comes after a long debate over whether changes made in 2010 were enough to avoid a repeat of a run on money market funds seen at the height of the financial crisis. In 2010, the SEC adopted rules that bolstered fund transparency, tightened credit quality standards, shortened the maturities of fund investments and imposed a new liquidity requirement.
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*Data reassures that Fed won't scale back soon on stimulus. NEW YORK, May 30- U.S. stocks rose on Thursday, rebounding from the previous session's losses, as tepid economic data eased concerns the U.S.
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*Jobless claims unexpectedly rise in latest week. *Data reassures that Fed won't scale back soon on stimulus. NEW YORK, May 30- U.S. stocks rebounded on Thursday on tepid economic data that eased concerns the U.S.
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The Securities and Exchange Commission's plan will be unveiled after nearly a year of internal wrangling within the SEC over exactly how to craft the rules, and whether reforms were even needed. The SEC said it plans to meet on June 5 to consider the proposal in public. A second majority vote by the SEC would be needed to adopt the new rules.
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*Bank of Japan and ECB reaffirm stimulus programs. NEW YORK, May 28- U.S. stocks advanced on Tuesday in the wake of their first three-day losing streak of the year, after central banks reassured investors that they will keep policies designed to foster global growth.
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NEW YORK, May 22- U.S. Treasury yields on the benchmark 10- year note rose above the key two percent level on Wednesday, the highest level in two months, as Federal Reserve Chairman Ben Bernanke added to bond investor fears that the U.S. central bank might slow its bond purchases later this year if the economy improves further.
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*Fed buys up to $1.75 bln in long-dated Treasuries. NEW YORK, May 22- Treasury debt prices fell on Wednesday with benchmark yields briefly rising above 2 percent as Federal Reserve Chairman Ben Bernanke kept alive market worries that the U.S. central bank might slow its bond purchases later this year if the economy improves further.
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NEW YORK, May 17- With the broad S&P 500 Index gliding once again into uncharted territory and posting four straight weeks of gains, the talk of Wall Street's rally inevitably hitting a ceiling is starting to get old.
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May 16- Charles Schwab Corp has temporarily reversed its requirement that clients waive their right to bring class-action lawsuits, adding a new twist in a battle closely watched by the securities industry and plaintiffs' attorneys.
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The financial services landscape has been long dominated by lazy incumbents lacking incentive to change. No longer. Financial services disruptors are all over Wall Street.
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Rep. Scott Garrett intends to show that he and his committee are serious about oversight of the Securities and Exchanges Commission.
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Rep. Scott Garrett intends to show that he and his committee are serious about oversight of the Securities and Exchanges Commission.
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