SEC Charges 16 Firms with Recordkeeping Failures, Combined Penalties Over $1.1B [MarketWatch]
Barclays PLC (BCS)
US:NYSE Investor Relations:
home.barclays/barclays-investor-relations.html
Company Research
Source: MarketWatch
The SEC said the firms admitted the facts set in their respective orders, acknowledged that their conduct violated recordkeeping provisions and have begun implementing improvements to settle these matters. Barclays Capital Inc., BofA Securities Inc. together with Merrill Lynch, Pierce, Fenner & Smith Inc., Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, Deutsche Bank Securities Inc. together with DWS Distributors Inc. and DWS Investment Management Americas Inc., Goldman Sachs & Co., Morgan Stanley & Co. together with Morgan Stanley Smith Barney LLC and UBS Securities LLC together with UBS Financial Services Inc. each agreed to pay $125 million in penalties each. Jefferies LLC and Nomura Securities International Inc. each agreed to pay $50 million, while Cantor Fitzgerald & Co. agreed to pay $10 million. The SEC said the firms' employees routinely communicated about business matters using text messaging applications on their personal devices between January 20
Show less
Read more
Impact Snapshot
Event Time:
BCS
Last Price
Price Change
Price Change%
Volume Shares
Max Up
Max Down
%
Volume Ratio
Performance Comparison
Updated
|
Event Day
Stock performance from the time of news release until the following 4pm ET market close
|
Last price at news event
|
Since Event
Multi-day stock performance from the time of the news release
|
|---|---|---|
|
EVENT DAY
Stock performance from the time of news release until the following 4pm ET market close
|
LAST
PRICE AT NEWS EVENT |
SINCE EVENT
Multi-day stock performance from the time of the news release
|
| Last Price | ||
| VWAP | ||
|
High:
|
Max Up |
High:
|
|
Low:
|
Max Down |
Low:
|
|
%
|
Post news range |
%
|
|
|
Price change |
|
|
|
Price Change Percentage |
|
|
|
S&P 500 (SPX) |
|
|
%
|
Volume ratio |
%
|
| Volume | ||
| Ticks | ||
|
|
Avg transaction size |
|
Don't Miss Out On The Next BIG Stock Move
Event day
Event Day Chart will not be displayed beyond 90-day period of the event
Performance since event
Time And Velocity Analysis
Be the first to know
Opt in for alerts from News Quantifed
Sign Up Today
Opt-in for
BCS alerts
Learn More With NQ
Reading the Impact Report
Help Me Understand This Data
Help Me Understand This Data
How NQ Works
What is news-based trading?
And why is it so successful?
And why is it so successful?
Movers & Shakers
The biggest gainers and losers and WHY it moved
BCS alerts
High impacting Barclays PLC news events
Weekly update
A roundup of the hottest topics
BCS
News
- BofA, Barclays Municipal Bond Strategists Are At Odds Over Summer Rally [BNN Bloomberg (Canada)]BNN Bloomberg
- Meloni Gets Warning Light as Italian Retail-Bond Demand Wanes [Yahoo! Finance Canada]Yahoo! Finance Canada
- Meloni Gets Warning Light as Italian Retail-Bond Demand Wanes [BNN Bloomberg (Canada)]BNN Bloomberg
- Cake Company Seeks $240 Million Selling Franchise-Backed Bonds [Yahoo! Finance Canada]Yahoo! Finance Canada
- Cake Company Seeks $240 Million Selling Franchise-Backed Bonds [Financial Post (Toronto, Ontario, Canada)]Financial Post
BCS
Sec Filings
- 5/10/24 - Form 6-K
- 5/10/24 - Form 424B2
- 5/9/24 - Form 6-K
- BCS's page on the SEC website