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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 […]
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 Chairman Alfred Berkeley and Chief Executive Fred Federspiel agreed to step down earlier this month.