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By Ginger Szala |
June 14, 2013
CBOE settles with the SEC on an enforcement action involving sham trades by member firm optionsXpress and it CFO.
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By Christopher Condon, Bloomberg |
June 14, 2013
John C. Bogle, the founder of Vanguard Group Inc., said proposed rules for money-market mutual funds don’t go far enough.
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By Sam Mamudi, Bloomberg |
June 12, 2013
Exchange executives, long shielded from legal scrutiny in the U.S., have been put on notice that may be changing after federal regulators fined CBOE Holdings Inc. $6 million for unprecedented lapses in supervision.
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By News story |
June 11, 2013
In a double boogie, the SEC fined both optionsXpress for illegal short trades and CBOE for regulatory failures.
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By Nick Gentle, Bloomberg |
June 11, 2013
OptionsXpress Inc., a unit of U.S. brokerage Charles Schwab Corp., and its former chief financial officer helped to facilitate sham transactions that violated U.S. securities laws, an administrative court ruled.
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By Ginger Szala |
June 7, 2013
PFG's banker U.S. Bank finally gets CFTC attention, injunction
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By Dave Michaels |
June 4, 2013
Money-market mutual fund providers seek compromise on new regulation, making tougher rules for the $2.6 trillion industry more likely.
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By Dave Michaels and Carter Dougherty |
May 29, 2013
The regulator will consider a proposal that would require a floating-share value for the riskiest money-market mutual funds.
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By Nikolaj Gammeltoft and Inyoung Hwang, Bloomberg |
May 29, 2013
Nasdaq OMX Group Inc. agreed to pay $10 million to settle Securities and Exchange Commission charges that its mishandling of Facebook Inc.’s initial public offering last year was a violation of securities laws.
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By Dave Michaels |
May 26, 2013
Kara M. Stein and Michael S. Piwowar, both senior U.S. Senate aides, were nominated by President Barack Obama to join the SEC.
