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  1. Acadia Pharmaceuticals: 4 Different Insiders Have Sold Shares This Month

    Headlines

    Sun, 20 Apr 2014

    sold by insiders during the last 30 days. All these shares were sold pursuant to a Rule 10b5-1 plan. SEC Rule 10b5-1 is a regulation enacted by the United States Securities and Exchange Commission (SEC) in 2000. Complete Story »

  2. SEC weighs requiring brokers to identify where trades made: Bloomberg

    Headlines

    Sat, 19 Apr 2014

    (Reuters) - The U.S. Securities and Exchange Commission is weighing a proposal that would require brokers to tell investors exactly where their stock trades are executed, Bloomberg reported on Saturday.

  3. SEC weighs requiring brokers to identify where trades made -Bloomberg

    Headlines

    Sat, 19 Apr 2014

    April 19 (Reuters) - The U.S. Securities and Exchange Commission is weighing a proposal that would require brokers to tell investors exactly where their stock trades are executed, Bloomberg reported...

  4. Thomson Reuters: Big Without 'Scale,' But The Times Are Changing

    Headlines

    Sat, 19 Apr 2014

    It is controlled by the Canadian firm Woodbridge (55% ownership). Being Canadian themselves, they file 40-F s with the SEC and their accounting is in IFRS, the international accounting standard. For such an old company, it is a sign of the times

  5. WSJ: Virtu puts IPO on hold

    Headlines

    Fri, 18 Apr 2014

    rigging the market in a new book, the WSJ reports. Virtu's move also comes as regulatory scrutiny on HFT increases, with the SEC , FBI, and the state of New York investigating the sector. Virtu has received a letter from the latter's Attorney General

  6. U.S. SEC's information technology at risk of hacking -report

    Headlines

    Thu, 17 Apr 2014

    WASHINGTON, April 17 (Reuters) - The U.S. Securities and Exchange Commission has failed to protect its data network against possible breaches, to encrypt highly sensitive information, or to use...

  7. U.S. SEC proposes rules for security-based swap dealers

    Headlines

    Thu, 17 Apr 2014

    WASHINGTON, April 17 (Reuters) - The U.S. Securities and Exchange Commission proposed rules for banks trading in security-based swaps, a type of derivative, the regulator said on Thursday, laying out how to keep records of their trades and how to report them.

  8. Ex-BP manager settles Gulf spill insider trading case

    Headlines

    Thu, 17 Apr 2014

    agrees to pay $224K to settle charges of insider trading , the SEC says. The employee, Keith Seilhan, now works as VP for Gulf ..... of the spill were significantly lower than the actual rate; the SEC said Seilhan, knowing the magnitude of the spill and the company

  9. Do Mako Investors Realize Their Tenuous Security Position In Oceanica?

    Headlines

    Wed, 16 Apr 2014

    when they were due to expire? OMEX raising cash via Mako appears to us to be a "backdoor" capital raise that circumvents the SEC securities registration rules required for public companies. Let's understand why OMEX's Oceanica Capital Raise was very

  10. Speed Trading Does Rig Markets

    Headlines

    Wed, 16 Apr 2014

    a trade. Yippee! Then the Wall Street Journal reports that the FBI is investigating HFT – not the Securities and Exchange Commission (although it is participating in the investigation), the FBI. You know, the guys who investigate

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