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Browse: Home / 2014 / October / 15 / Dark Pools Face More Enforcement Actions, SEC Lawyer Says – Bloomberg

Dark Pools Face More Enforcement Actions, SEC Lawyer Says – Bloomberg

By Securities Docket on October 15, 2014, 6:06 am

The SEC is investigating special order types, how brokers route trades and payments they receive for sending customer orders to wholesale market makers, Daniel M. Hawke, chief of the SEC’s market abuse unit, said today at a conference in Washington. Regulators have said those arrangements create conflicts of interest for brokers.

via Dark Pools Face More Enforcement Actions, SEC Lawyer Says – Bloomberg

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