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State Streets SPDR Morgan Stanley Technology ETF MTK announced that it had received a $108,328 payment from a class action settlement related to Juniper Networks, Inc. The SPDR has slightly more than 2.7 million shares outstanding, meaning that the payment will translate into just over 4 cents of gain per share.
February 24 -
BATS Global Markets said the SEC's Division of Enforcement is looking at its methods for developing new order types as well as how it develops its information technology systems.
February 24 -
The Commodity Futures Trading Commission voted to approve new rules governing, among other things, when swaps dealers can delay reporting on the size and price of their block trades.
February 24 -
Heres an interactive slide show detailing five advisors who have already found themselves in the SECs crosshairs this year.
February 23
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New information FINRA is exploring adding to the BrokerCheck system could include the reason for and comments related to a brokers termination as well as scores on industry qualification exams.
February 23 -
The capital markets industry will increase its spending 8.5 percent a year on technology that combats financial crimes, through 2015.
February 23 -
With our economy in the shape its in, and saving for retirement more difficult than ever, it was critical that this troubling provision be stripped from the bill, according to a statement from FSI President and CEO Dale Brown.
February 22 -
A Financial Industry Regulatory Authority arbitration panel ordered Memphis-based Morgan Keegan & Co. to pay a Birmingham investor $1.95 million for misrepresenting that the Jefferson County, Ala., sewer bonds he purchased were safe, liquid and tax-free investments.
February 22 -
A sports agent, whose company represents star clients including Denver quarterback Tim Tebow, won $400,000 in a ruling against brokerage Morgan Keegan & Co., due to personal losses from bad bond investments.
February 21 -
Prompted by a delay in a big trade at a popular ETF, the SEC is taking a closer look at a possible connection between high-frequency traders and hedge funds jumping in and out of ETFs, and instances where ETF trades fail to settle on time.
February 21
