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By Joshua Gallu and Nina Mehta, Bloomberg |
April 5, 2012
More than five months before a software error ruined Bats Global Markets Inc.’s initial public offering, U.S. regulators put exchanges on notice that they need to do more to protect investors from technology gone awry.
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By Nina Mehta, Nick Baker and Nikolaj Gammeltoft, Bloomberg |
March 23, 2012
Bats Global Markets Inc., the six- year-old equity exchange, canceled its initial public offering, stunning Wall Street after errors on its own computer systems derailed trading in the stock and forced a halt in Apple Inc.
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By Joanna Ossinger and Nikolaj Gammeltoft, Bloomberg |
March 13, 2012
CBOE Holdings Inc., the options exchange being investigated by the Securities and Exchange Commission, said senior compliance executive Patrick Fay has resigned.
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By Nikolaj Gammeltoft |
March 8, 2012
The matter stems from an SEC investigation of whether CBOE Holdings was complying with its obligations as a self-regulatory organization.
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By Press Release |
November 7, 2011
Appointed to the SEC by President Barack Obama on Oct. 24, 2011, Commissioner Daniel Gallagher returns to the agency where he previously worked for four years as a counsel.
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By Daniel P. Collins |
May 4, 2011
There has been a debate raging for more than three years as to the role of speculators in the ongoing bull market in commodities. It ...
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By Press Release |
April 20, 2011
Julius Leiman-Carbia will oversee a staff of approximately 300 lawyers, accountants and examiners responsible for the inspections of U.S.-based broker-dealers.
