Trading

We are living in a transformational time, perhaps as transformational as the internet itself. Artificial intelligence, predictive data analytics, and machine learning are shaping and ...

In total, on about 3,000 occasions, Polevikov used this material non-public information to execute trades in his wife’s brokerage account in the same securities and ...

Coda did not always provide its subscribers with information indicating where their orders had been routed or executed

Many young people, who access our markets through newer technology—are currently interested in investing in our markets, and I believe this is a wonderful development ...

How are investors protected in light of the potential conflicts of interest that may exist when DEPs optimize for platform revenues, data collection, or investor ...

As you discuss digital platforms and other topics in the future, help us to remember that a regulator who always says no or takes too ...

The Commission’s complaint alleged that Bressman did not disclose to customers that he allocated stock trades in a way that favored himself and his family ...

As new technologies come along, we need to be sure we’re achieving our core public policy goals

The Commission would like to hear from you about your experiences with these platforms and their digital engagement practices

The Commission is issuing this Request related to the use and development of digital engagement practices by firms on their digital platforms