‘Enforcement 40’ for 2020
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By Securities Docket on March 26, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for March 25, 2015.
By Securities Docket on March 26, 2015, 8:51 am
In his testimony last week, SEC Enforcement Director Andrew Ceresney provided Congress with details on how the Enforcement Division would use a proposed increase in the SEC’s budget for FY 2016, and presented an update on the recent work of his Division. via Ceresney Testifies on Enforcement’s Budgetary Needs and Performance | Compliance Week
By Securities Docket on March 26, 2015, 6:34 am
Securities and Exchange Chairwoman Mary Jo White wants to hunt down sharks in lightly regulated “dark pools,” where predatory traders are known to lurk. White proposed a new rule on Wednesday that would require high-frequency trading firms to register with the Financial Industry Regulatory Authority, a broker watchdog, and submit a daily paper trail on […]