Securities and Exchange Commission (SEC)

SEC Announces Quant Analysis Unit

The US Securities and Exchange Commission (SEC) has announced a number of new initiatives designed to combat fraud and market abuse, including a unit dedicated to risk and data analysis, within its enforcement arm.

Surveying the Social Data Frontier

New guidance from US regulators on what is permitted for communicating via social media could create a new source for securities reference data for data managers to consider. Michael Shashoua reports on the significance of the SEC and Finra moves, as…

NYSE Retiring LRP Ahead of Limit Measures

The New York Stock Exchange has filed a plan to withdraw its Liquidity Replenishment Points program (LRP), a way of halting momentum in volatile stocks, with the US Securities and Exchange Commission (SEC).

Updated: SAC Capital Settlement, Investigation Widens

SAC Capital’s $616 million compounded penalty handed down by the Securities and Exchange Commission (SEC) is an enormous number, but the outcome is both manageable for SAC and, given previous insider investigations, expected. Just the same, other funds…

With White, Better the Outsider?

In her new role as chair of the SEC, Mary Jo White must demonstrate that she's more than a prosecutor, but someone who can also bring stability to the market.

You need to sign in to use this feature. If you don’t have a WatersTechnology account, please register for a trial.

Sign in
You are currently on corporate access.

To use this feature you will need an individual account. If you have one already please sign in.

Sign in.

Alternatively you can request an individual account here