SEC suspends trading in shares of questionable Ebola prevention and treatment companies LeapRate

November 20, 2014 BY LeapRate Staff

SEC suspends trading in shares of questionable Ebola prevention and treatment companies

The US Securities and Exchange Commission (SEC) today suspended trading in four companies that claim to be developing products or services in response to the Ebola outbreak, citing a lack of publicly available information about the companies’ operations. The SEC simultaneously issued an investor alert warning about the potential for fraud in microcap companies purportedly…

August 21, 2014 BY Andrew Saks-McLeod

SEC premier Mary Jo White expresses concern that international red tape could hamper trade reporting

Expressing concern over perceived lethargy from the G20's Financial Stability Board, SEC Chair Mary Jo White demands action taken to remove barriers to OTC derivatives trade reporting in the quest for global standardization of regulation

August 08, 2014 BY Mike Fox

USA Forex Fraud Watch: Indiana man settles SEC FX trading fraud charges

The Securities and Exchange Commission issued the following litigation release...

July 14, 2014 BY Andrew Saks-McLeod

Steadfast American conglomerate KCG predicts increase in dark liquidity as SEC plans to widen tick sizes

Phil Mackintosh, KCG's Head of Trading Strategy and Analysis has published an analysis called "Who Gets the Short End of the 'Tick?" which examines the Securities and Exchange Commission's pilot program to widen tick sizes in electronic trading. Are dark pools the future across North America?

April 23, 2014 BY Andrew Saks-McLeod

Bitcoin heads for mainstream venues as Atlas ATS partners with National Stock Exchange

With the dreams of many investors wishing to circumvent the traditional financial markets system by trading Bitcoin on virtual exchanges severely damaged, Bitcoin venues partnering with established stock exchanges may restore the faith. Despite the nerve-wracking journey which Bitcoin has taken recently, America's virtual currency advocates are making almost daily progression toward integrating it into…

January 24, 2014 BY Gerald Segal

Former Oppenheimer Fund Manager settles with SEC for $100,000

Brian Williamson has misrepresented a fund’s internal rate of return 10 times from 3.8 to 38.3% US Securities and Exchange Commission has issued a statement detailing its settlement with formar portfolio manager from Oppenheimer & Co. Brian Williamson. The regulator has imposed a permanent ban from the securities industry and the defendant will pay $100,000…

July 18, 2013 BY Gerald Segal

SEC allows broker-dealers to do Retail Forex business for three more years

Dodd-Frank exception for SEC registered broker dealers was to expire July 16, 2013. The SEC has quietly extended by three years the exception provided to broker dealers to engage in what it terms 'retail forex transactions'. By the straight Dodd-Frank Act rules, all broker dealers in the U.S. were to cease Forex transactions with retail…

October 05, 2012 BY Gerald Segal

FXCM files $125 million shelf prospectus

Gives FXCM flexibility to raise public equity or debt. Leading retail FX firm FXCM, the world's largest online FX broker (and a member of LeapRate's Approved List), filed a prospectus with the U.S. Securities and Exchange Commission (or "SEC") which will allow FXCM to issue up to $125 million in equity and/or debt securities in the…

Tag: SEC