Year: 2018

The retail investor focus of the Commission’s Enforcement Program is generating increasing numbers of actions involving investment advisers. While the number of these actions was increasing prior to the time Chairman Clayton assumed office, the trend in not only continuing …

SEC Continues to Focus on Investment Advisers Read More »

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High-frequency trading and its impact on other traders has been a hotly debated question in recent years. Some argue that the practice should be banned while others claim that it has a beneficial impact, adding liquidity to the markets. Regardless …

SEC Sanctions Citi Dark Pool Read More »

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