Tag: disclosure

The Commission announced that its enforcement program remains vibrant, having filed just one less action last year that its record setting 735 actions in the prior fiscal year. The enforcement program is being bolstered by over 3,000 whistleblower complaints that …

This Week In Securities Litigation (Week ending November 16, 2012) Read More »

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Dark pools have been a subject of concern to Congress, the SEC and the public for years. Despite those concerns the pools are used by institutional and other large traders to cloak their trading activity and minimize its market impact. …

THE SEC’S FIRST ACTION INVOLVING A DARK POOL Read More »

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