Month: November 2010

Financial reform and the implementing Dodd-Frank continue to be key topics for market regulators. The SEC, CFTC and others are busy writing rules to implement the Act. Many on Capital Hill are studying ways to limits or repeal portions of …

INSIDER TRADING – STILL A KEY FOCUS OF REGULATORS Read More »

The SEC approved new rules sought by the exchanges which effectively bar market makers from using “stub quotes,” a kind of quote which is not intended to be executed. That type of quote was involved in the flash crash. SEC …

THIS WEEK IN SECURITIES LITIGATION (November 12, 2010) Read More »