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4 Regulatory Developments to Follow in 2023
Federal government regulators are taking aggressive stances to protect workers, ensure fair markets, and keep investors informed.
By
Vincent Ryan
| January 31, 2023
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dark pools
Technology
Barclays, Credit Suisse Fined $154M Over Dark Pools
The SEC and New York State allege the banks misrepresented that they would keep high-frequency traders out of their alternative trading systems.
By
Matthew Heller
| February 2, 2016
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Risk & Compliance
Brokerage to Pay Record Fine Over Secret Trading Desk
The SEC says ITG's Project Omega misused the confidential data of its "dark pool" subscribers to make trades.
By
Matthew Heller
| August 13, 2015
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Investor Relations
Nasdaq Offers to Run Unregulated ‘Dark Pools’
After previously backing regulations that would move dark pool trades onto exchanges, Nasdaq OMX now says it wants to run the pools for banks.
By
Katie Kuehner-Hebert
| January 12, 2015
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Risk
Brave New Market
Experts differ on whether changes in the equity markets are harming Corporate America. But CFOs can&spamp;rsquo;t ignore the potential consequences.
By
Randy Myers
| October 8, 2012
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