‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInSEC chief takes aim at predatory traders in ‘dark pools’ | New York Post
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 […]
Dark Pools Face More Enforcement Actions, SEC Lawyer Says – Bloomberg
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 […]
Pipeline Financial’s Top Officers Leave in Wake of ‘Dark Pool’ Case
Pipeline Chairman Alfred Berkeley and Chief Executive Fred Federspiel agreed to step down earlier this month.