As a result of conclusions from a recent study by Woodbine Associates, Senator Charles Schumer wrote to SEC Chairman Schapiro requesting that the SEC take action to ensure that brokerages
Continue Reading Broker Routing Decisions; Are There Conflicts Of Interest
Chairman Mary L. Schapiro
The SEC Has New Toys, Big Brother Is Watching
By Joshua Horn on
Chairman Schapiro recently announced several technology enhancement initiatives that are designed to improve the SEC’s enforcement efforts and business practices. These initiatives were certainly designed to enhance the SEC’s ability…
Continue Reading The SEC Has New Toys, Big Brother Is Watching