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Searching Content indexed under Corporate/Commercial Law by Tiffany Smith ordered by Published Date Descending.
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SEC Adopts Significant Changes To Regulation ATS
On July 18, 2018, the Securities and Exchange Commission voted unanimously to adopt significant amendments to Regulation ATS.
United States
12 Sep 2018
2
SEC Proposes Transaction Fee Pilot For NMS Stocks
On March 14, 2018, the SEC proposed Rule 610T of Regulation NMS under the Securities Exchange Act of 1934 to conduct a pilot program to study the effect of equity exchange transaction fees and rebates, and ...
United States
27 Mar 2018
3
Knight Capital Settles Rule 15c3-5 Violations With SEC, Agrees To Pay $12 Million
On October 16, 2013, Knight Capital Americas LLC (Knight Capital) agreed to pay $12 million to settle charges brought by the Securities and Exchange Commission (SEC) alleging that the firm violated Rule 15c3-5 (the Market Access Rule or Rule) under the Securities Exchange Act of 1934
United States
24 Oct 2013
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