The Securities And Exchange Commission

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NYSE to pay $14m penalty for multiple violations

Securities and Exchange Commission Building

The Securities and Exchange Commission has announced that it charged the New York Stock Exchange and two affiliated exchanges with regulatory failures in connection with multiple episodes, including several disruptive market events.

Deutsche Bank to repay misled customers

The Securities and Exchange Commission has instituted an enforcement action against Deutsche Bank Securities Inc., which has agreed to repay more than $3.7 million to customers, which includes $1.48 million that was ordered as disgorgement.

BlackRock to settle charges over staff separation agreements

The Securities and Exchange Commission has announced that New York-based asset manager BlackRock Inc. has agreed to pay a $340,000 penalty to settle charges that it improperly used separation agreements in which exiting employees were forced to waive their ability to obtain whistleblower awards.

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