S&P Dow Jones Indices Reaches $9 Mln Settlement With SEC : v

S&P Dow Jones Indices Reaches $9 Mln Settlement With SEC


S&P Dow Jones Indices Reaches $9 Mln Settlement With SEC
WASHINGTON (dpa-AFX) - S&P Dow Jones Indices or S&P DJI, a division of S&P Global, Inc. (SPGI), announced Monday that it has reached a $9 million settlement with the U.S. Securities and Exchange Commission or SEC to resolve a matter that was the subject of a previously disclosed Wells Notice.
The settlement order finds that S&P DJI, which neither admits nor denies the SEC's allegations, acted negligently in violation of Section 17(a)(3) of the Securities Act of 1933 with respect to the operation of a then undisclosed quality assurance mechanism and its impact on certain real-time values of the S&P 500 VIX Short-Term Futures Index ER on a single business day, February 5, 2018. S&P DJI said it is pleased to have concluded this matter.

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