BRANDT'S RANDOM GOVERNMENT PRESS RELEASES
A PUBLICATION OF RANDOM U.S.GOVERNMENT PRESS RELEASES AND ARTICLES
Showing posts with label
ALTERNATIVE TRADING SYSTEM
.
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Showing posts with label
ALTERNATIVE TRADING SYSTEM
.
Show all posts
Thursday, January 15, 2015
SEC CHARGES UBS SUBSIDIARY WITH DISCLOSURE FAILURES
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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION The Securities and Exchange Commission today charged a subsidiary of UBS with disclosure f...
Saturday, July 26, 2014
SEC CHARGES CITIGROUP BUSINESS UNIT WITH FAILING TO PROTECT CONFIDENTIAL TRADING DATA
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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION The Securities and Exchange Commission charged a Citigroup business unit operating an alt...
Sunday, June 8, 2014
SEC CHARGES BROKERAGE FIRM WITH IMPROPER USE OF TRADER CONFIDENTIAL INFORMATION
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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION The Securities and Exchange Commission charged a New York-based brokerage firm that operat...
Thursday, October 4, 2012
TRADING SECURITIES IN THE "DARK POOL"
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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C., Oct. 3, 2012 — The Securities and Exchange Commission today charged Boston...
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