‘Enforcement 40’ for 2020
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By Securities Docket on June 15, 2016, 8:55 am
Get caught up with the Securities Docket News Wire for June 14, 2016.
By Securities Docket on June 15, 2016, 8:52 am
IEX Group Inc. is poised to win regulatory approval to launch a stock exchange that slows the pace of trading, according to people familiar with the matter, following a decade when government rules and Wall Street’s technology wizards fostered ever-greater speed. The staff of the Securities and Exchange Commission has recommended that the agency approve […]
By Securities Docket on June 15, 2016, 7:57 am
“FINRA is facing so many external pressures to its existence,” says Bradley Bondi, a partner at Cahill Gordon & Reindeland a leader of the firm’s securities enforcement practice. “It does not surprise me that it picked someone like Bob Cook who is an experienced broker-dealer attorney, is well versed on the current issues and knows […]