United States: Electronic Trading Platform Settles SEC Charges For Registration Failure - Cadwalader, Wickersham & Taft LLP

Mondaq

02 Jul 2021 0 shares 1 views

United States: Electronic Trading Platform Settles SEC Charges For Registration Failure - Cadwalader, Wickersham & Taft LLP

Mondaq

Published 02 Jul 2021

An operator of an order and execution management system ("OEMS") that facilitates electronic trading settled SEC charges for failing to register as a broker-dealer.

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United States: SEC Charges Three With Insider Trading In Connection With Company "Pivot" To Blockchain - Cadwalader, Wickersham & Taft LLP

The SEC charged three individuals with an insider trading scheme involving disclosure of confidential information in connection..

Mondaq 13 Jul 2021

United States: Electronic Trading Platform Settles SEC Charges For Registration Failure - Cadwalader, Wickersham & Taft LLP

United States: Electronic Trading Platform Settles SEC Charges For Registration Failure - Cadwalader, Wickersham & Taft LLP

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