Month: September 2021

Maker-taker fees and payment for order flow are much discussed topics. SEC Chair Gensler, had repeatedly talked about payment for order flow, for example, suggesting that he wants to reform the process. Whether and when that may happen is an …

Wash Sales and Maker-Taker Fees Read More »

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Offering fraud actions are one of the largest groups of cases brought by the Commission. The cases generally have a common theme – those running the scheme offer securities that are promised to be safe and profitable, a sure thing. …

Offering Fraud Cases: A Quick Buck Equals A Big Loss Read More »

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