Goldman Sachs Pays Fine for Roiling Options Market in 2013
Goldman agreed to pay a $7 million fine to settle regulatory claims that it sent thousands of mistaken orders.
SEC Split on Including Brokerages in Trading Safeguards
Rules meant to prevent automated trading system breakdowns should be expanded to include brokerages that match orders away from regulated exchanges, two SEC members say.
New Hire Roundup: NASDAQ OMX Names Wittman Head of Equities
Also, Kira Bazile joined North Street Global as president, and Citi Private Bank announced changes in its family office leadership.
Top Portfolio Products: Wasatch Launches Frontier Fund; Westwood Seeks High Yield
New products introduced over the last week include a frontier markets fund from Wasatch and a short-duration, high-yield fund from Westwood.
Nasdaq, ICE Drop Bid for NYSE on DOJ's Antitrust Move
Nasdaq and IntercontinentalExchange on Monday withdrew their joint $11 billion bid for the parent of the New York Stock Exchange after the U.S. Department of Justice informed the companies that it would pursue a lawsuit to block the deal.
Forged Comment Letters Surface Ahead of CFTC Hearings
The U.S. Commodity Futures Trading Commission has referred forged comment letters it received to the Justice Department.
Nasdaq Adds to Green Economy Index
Nasdaq OMX Group, Inc., which in September launched its family of green economy indices, announced Thursday that it would begin disseminating a total of 20 new Nasdaq OMX Green Economy Indices on Nov. 10.