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Enforcement Compliance Dark Pool

Dorsey & Whitney LLP

This Week In Securities Litigation (Week ending August 1, 2014)

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The Commission continued to focus on the markets this week, brining another action involving the operation of a partially dark pool. The ECN operator was a subsidiary of Citigroup. The SEC alleged that confidential customer...more

Dorsey & Whitney LLP

This Week In Securities Litigation (Week ending July 3, 2014)

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In a holiday shortened week, dark pools were again a focus for regulators. This week FINRA sanctioned Goldman Sachs in connection with the operation of its dark pool....more

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