Trading

First, ATSs transacting in NMS stocks would be required to publicly disclose information relating to the activities of its broker-dealer operator and the operator’s affiliates. ...

A common thread running through the enforcement actions against dark pools is that market participants lack crucial information about how these ATSs function—and about the ...

I will simply underscore that this rulemaking holds the promise of making ATS operations more transparent to both the Commission and the public, and thus ...

While disclosure is absolutely a positive step forward, the question I am left pondering today is whether we have done enough. For example, does the ...

The Commission is: (1) conditionally exempting equity options market participants from the self-identification requirements of the Rule if they have not met or exceeded the ...

The SEC’s complaint alleges that Catapano and Piervinanzi engaged in an undisclosed kickback arrangement with an individual who claimed to represent a group of registered ...

During the relevant time period, Mr. Welhouse allocated a disproportionate number of profitable SPY options trades to favored accounts (accounts belonging to Mr. Welhouse or ...

The SEC’s recent string of bringing “first-ever” cases continues. This time it’s the Commission’s first enforcement action against an issuer of retail structured notes. Charged ...

The first of the penalties from the $100 million international insider trader scheme involving hacked newswire services has now been imposed on a Ukrainian-based trader ...

You’ve known since Dodd-Frank passed and ordered the SEC’s Division of Investment Management to once again employ examiners that firms would have to worry about ...