The SEC and FINRA announced the priorities for their examination programs from 2015 this week. The SEC priorities build in several respects on those from the prior year. They are divided into four areas which, to some extent, overlap: 1) …
Year: 2015
SEC-USAO File Actions On “Old Fashioned” Spoofing Scheme
Spoofing or layering is typically associated these days with computers and high speed trading. It is a form of market manipulation in which the trader places a series of fictitious orders on one side of the market to draw interest …
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Tagged with: spoofing; market manipulation; secactions