News & Analysis as of

SEC Releases Exam Priorities For 2015

On January 12, 2015, the SEC's Office of Compliance Inspections and Examinations ("OCIE") released its Examination Priorities for 2015 (available here) outlining the issues that it will focus on this year in examining...more

How New Litigation May Change "Dark Pool" Trading

Last spring popular author Michael Lewis described the world of high-frequency stock trades and dark pools in his book, Flash Boys. Between then and now, the New York Attorney General (“NYAG”), a group of public investors,...more

New York AG Civil Suit Targets International Bank’s “Dark Pool”, Relationships With High-Frequency Traders

On June 25, New York Attorney General (AG) Eric Schneiderman announced the filing of a civil suit against a large international bank alleging that, from 2011 to the present, the bank violated the Martin Act by making false...more

HFT Rules: Three Part HFT Harmony [Video]

Watch the Restoring Customer Confidence video series: http://jlne.ws/TJeVtG About this solution: High Frequency Trading (HFT) has been in the financial press a lot over the past several years. From the Flash Crash of...more

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