Many forms of cross-border mergers would not result in mandatory registration of a non-U.S. exchange
Regulator seeking comment from fund industry
Investors and analysts can now search the full text of documents filed within the last two years
Options are currently quoted in increments of nickels and dimes
SEC investigating backdating stock option grants at more than 20 U.S. companies
U.S. Attorney's Office for the Southern District of New York enters into agreement, bank to pay US$675 million to settle non-prosecution agreement
The order stems from several deficiencies in the exchange’s surveillance program from 1999 through 2002
Fines stemming from illegal activity in the auction rate securities market
The U.S. Securities and Exchange Commission today extended the compliance dates for a series of initiatives designed to modernize and strengthen the national market system (NMS). In response to Regulation NMS and the desire of investors for more efficient trading, many exchanges are automating their equity trading systems, the SEC notes. The commission is extending […]
Regulator will issue guidelines for companies