high speed trading – SEC ACTIONS

SEC Institutes Proceeding Against High Speed Trader – But Not For Trading

Posted on September 17, 2014 by T. Gorman Posted in SECActions

High speed trading is a frequent topic of discussion in the securities markets. Books have been written about it such as Michael Lewis’ “Flash Boys” and Scott Patterson’s “Dark Pools.” Hearings have been held on Capitol Hill and SEC and …

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Tagged with: high speed trading, net capital, secactions

SEC Charges Tied to the Lack of An Algorithm

Posted on July 07, 2014 by T. Gorman Posted in SECActions

An investment adviser and its principal settled SEC charges that they mislead the board of a registered investment company when it was considering an advisory contract.

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SEC Institutes Proceeding Against High Speed Trader – But Not For Trading

SEC Charges Tied to the Lack of An Algorithm