SEC Approves Stock Quotes in Half-Penny Ticks on Exchanges
The price increments at which thousands of stocks and ETFs are quoted look set for an overhaul Wednesday, when the US ...
Hedge Fund Two Sigma Is in Settlement Talks With SEC
Hedge-fund powerhouse Two Sigma is likely to pay as much as $100 million to settle a Securities and Exchange Commission ...
Citadel Securities Shelves Plan to Join Ranks of Fed Dealers
Citadel Securities has quietly shelved plans to join one of Wall Street’s most prominent clubs: The ranks of bond dealers ...
Compliance Week1d
FINRA names XML Securities’ CCO to board of governors
FINRA announced the election of Jennifer Szaro, chief compliance officer and a managing equity owner at XML Securities and its affiliated registered investment adviser, XML Financial Group, to its ...
Hedge fund Two Sigma in settlement talks with US SEC, WSJ reports
Hedge fund Two Sigma is likely to have to pay as much as $100 million to resolve a U.S. Securities and Exchange Commission ...