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Alternative Trading Systems Operator Liquidnet Charged with Violations of Market Access Rule and for Failing to Protect Confidential Subscriber Trading Information
The Securities and Exchange Commission today announced settled charges against broker-dealer Liquidnet Inc., an operator of multiple alternative trading systems (ATSs), for failing to have necessary controls and procedures regarding market access, for… Full report at: Read More
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New York, New York – In a landmark legal move, Global Investment Management Holdings Inc (GIMH), a Delaware-based private financial firm, has filed a lawsuit…
The Securities and Exchange Commission today announced that Policy Director Heather Slavkin Corzo will leave the agency. Corey Klemmer, most recently the Corporation Finance Counsel…
From the U.S. Attorney’s Office, District of Rhode Island PROVIDENCE, RI – A Honduran national who reentered the United States illegally after he had been…
Oakland, California – In a landmark victory that underscores the firm’s commitment to workplace justice, Erlich Law Firm has secured a significant verdict for their…
The Securities and Exchange Commission today announced that Tina Diamantopoulos has been named Director of the Chicago Regional Office, the Commission’s second-largest regional office. Ms.…
The Securities and Exchange Commission today announced the adoption of amendments to Regulation S-P to modernize and enhance the rules that govern the treatment of…
NASA has taken the next step toward verifying the airworthiness for its quiet supersonic X-59 aircraft with the completion of a milestone review that will…
The staff of the Securities and Exchange Commission today published a new report of Investment Adviser Statistics, which is based on aggregated data filed by…
The Securities and Exchange Commission is seeking candidates to fill a limited number of vacancies on the agency’s Small Business Capital Formation Advisory Committee, which…
The Securities and Exchange Commission today announced settled charges against New York-based registered investment adviser Hudson Valley Wealth Management Inc. and its founder, Christopher Conover,…