UBS Securities to Pay $14M to SEC Over Dark Pool Violations
“Today’s charges are notable for their breadth," says SEC's enforcement chief.
SEC Fines EDGA, EDGX Exchanges $14M
The penalty is the SEC’s largest against a national securities exchange, and the case is the SEC’s first principally focusing on stock-exchange order types.
F-Squared Pays SEC $35M Fine to SEC for Misleading Performance Advertising
SEC says F-Squared's AlphaSector used back-tested performance data that mistakenly inflated results by 350%, not actual performance numbers.
Enforcement: Nationwide to Pay $140M in 13-Year ERISA Settlement
In another action, the SEC charged the owner of a home restoration business with securities fraud for selling unsecured notes to investors.
SEC Sanctions Schwab, TD Ameritrade, 11 Others on Puerto Rican Junk Bond Sales
The SEC Monday sanctioned 13 firms under MSRB's minimum investment rule intended to keep retail investors out of higher-risk offerings.
SEC Slaps E*Trade for Unregistered Transactions, Issues Risk Alert
SEC says that brokerage subsidiaries of E*Trade engaged in unregistered sales of micro-cap stocks; also issues Risk Alert reminding BDs of unregistered transaction duties.
SEC Plans to Hand Out Whopping $30 Million Whistleblower Award
The SEC expects to award a whistleblower more than $30 million for providing key original information that led to a successful enforcement action.
SEC Hits New York HFT Firm With Biggest-Ever Net Capital Fine
The SEC has fined a high-frequency trading firm $16 million, the largest penalty ever for a net capital violation.
SEC Creates New Office of Risk Assessment
SEC created new Office of Risk Assessment to help provide data-driven risk assessment tools and models to support a wide range of SEC activities.
SEC Using Hedge Fund Data on $8 Trillion in Assets in Exams, Enforcement
SEC tells Congress it is using compiled data from Form PF, now required of private fund advisors, to support its own regulatory programs.