Category: WWW News

SEC Charges New York-Based Dark Pool Operator With Failing to Safeguard Confidential Trading Information

The Securities and Exchange Commission today charged a New York-based brokerage firm that operates a dark pool alternative trading system with improperly using subscribers’ confidential trading information in marketing its services. Regulations require an alternative trading system (ATS) to establish and enforce safeguards and procedures to protect the confidential trading …

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