Tom Steinert-Threlkeld

Socialware, the Austin, Texas-based firm that helps mutual fund, brokerage and other financial services firms track their social media communications and stay in compliance with company and industry regulations, has secured another $7 million in funding.

Social networking? Everyone's doing it. Particularly your next generation of fund customers. You will want to reach them, as they walk and talk through the Internet.

A senior employee known as an aggressive workaholic, but who seems stressed, yet rarely takes vacations, declines promotions, and zealously protects his business unit from outside scrutiny while personally handling choice vendors may be up to something devious.

Thomson Reuters said it began providing high-speed information and trading services to foreign currency trading firms, from its London data centers.

The securities industry added 4,000 jobs across the United States in the second quarter, according to the Securities Industry and Financial Markets Association.

Donald Johnson, 57, was sentenced for engaging in insider trading on multiple occasions based on material, non-public information he obtained in his capacity as a Nasdaq executive. Johnson also was ordered to forfeit $755,066.

As trading opens on another nervous week on Wall Street, mainstream investors are casting their votes on prospects by racing out of mutual funds that invest in stocks long-term.

The Securities and Exchange Commission Friday launched its whistleblower program, launching a Web page to collect “original information’’ about securities laws violations.

During the first trading session after Standard & Poor’s downgraded its rating of U.S. debt from AAA to AA+, investors got out of stocks and parked their money in...U.S. Treasury bonds.

They're an elongated equivalent of a ticker tape. Instead of four-character symbols and another four characters of pricing information, they're 140 characters of insight and links to deeper information.

Ever wonder what one second of high-frequency trading actually looks like? Here's a video that slows down the flow of market data and transactions flowing through one second of trading. See if you can follow what's going on.

Institutional traders trying to move large blocks of stock in the face of market swings are driving venues such as Liquidnet to new volume records.

BNY Mellon will cut its work force by 3 percent or 1,500 positions, by year's end, as it sees expenses growing faster than revenue.

The Financial Industry Regulatory Authority fined a securities brokerage arm of Citigroup $500,000 for failing to supervise a former employee who misappropriated most of a million dollars from clients, including her own father.

CBOE Holdings said its net income jumped 32 percent, even as trading in futures and options declined 16 percent in the secnd quarter.

The Investment Adviser Association’s 2011 benchmarking survey finds that two-thirds of all chief compliance officers wear more than one hat. And that nearly a quarter of the 400 firms surveyed do not even have a full-time person devoted to legal and compliance issues.

Approximately $13.2 billion flowed into exchange-traded products in July, according to statistics compiled electronically by National Stock Exchange.

The operator of the New York Stock Exchange reported net income of $154 million, or $0.59 per diluted share, for the second quarter of 2011, compared to net income of $184 million, or $0.70 per diluted share, for the second quarter of 2010.

BlackRock, the large investment manager, said that the benefit of a debt limit deal will only be borne out if investors “see a clear path toward deficit reduction that encourages confidence in the U.S. dollar.’’

The Securities and Exchange Commission unanimously voted Tuesday to require large trading firms to identify themselves, so their market activities can be tracked.