Tag: exchanges

The Commission brought its first action based on Regulation SCI regarding business continuity as part of a proceeding naming the New York Stock Exchange, NYSE American and NYSE Arca, Inc. as Respondents. The proceeding is the result of five separate …

SEC Sanctions NYSE, American and Arca Exchanges Read More »

Tagged with: , , , ,

There was a time when orders for securities were straight forward – buy, sell, limit and perhaps a few variations. Now, however, there is a multiplicity of order types as Michael Lewis points out in his book “Flash Boys.” Just …

SEC Brings Action Against Exchanges Centered on Order Types Read More »

Tagged with: , ,