Tag: sec

SEC’s New ETFs Proposal Could Spark Migration To Risky ETNs

SEC’s New ETFs Proposal Could Spark Migration To Risky ETNs

The Securities and Exchange Commission’s two new pieces of rule-making proposals aimed at trimming risks in exchange-traded funds (ETFs) could have an “unintended consequence” of driving investors into less well-regulated products like exchange-traded notes (ETNs). Eric Balchunas, an exchange-traded fund analyst at […]

Recent SEC Actions Charging Dark Pools [INFOGRAPHIC]

Recent SEC Actions Charging Dark Pools [INFOGRAPHIC]

According to the SEC’s orders instituting settled administrative proceedings against Credit Suisse: Credit Suisse misrepresented that its Crossfinder dark pool used a feature called Alpha Scoring to characterize subscriber order flow monthly in an objective and transparent manner.  In fact, […]

Chart via S&P Capital IQ

BlueCrest Appears To Be Subject Of SEC Probe

The Securities and Exchange Commission is investigating whether of not Michael Platt’s BlueCrest Capital Management’s employee fund represents a conflict of interest for the once giant hedge fund firm. BlueCrest still big, just smaller The probe began last year and […]

The Flash Crash: A New Deconstruction

The Flash Crash: A New Deconstruction

The Flash Crash: A New Deconstruction Eric M. Aldrich University of California, Santa Cruz Joseph Grundfest Stanford University Law School Gregory Laughlin University of California, Santa Cruz January 25, 2016 Abstract: On May 6, 2010, in the span of a […]

NASDAQ Seeks Better Short Seller Disclosure/Reporting

NASDAQ Seeks Better Short Seller Disclosure/Reporting

NASDAQ’s email to SEC’s Brent J. Fields discussing better short seller disclosure/reporting. NASDAQ Seeks Better Short Seller Disclosure/Reporting December 7, 2015 Mr. Brent J. Fields Secretary U.S. Securities and Exchange Commission 100 F Street, NE Washington , DC 20549-1090 Re: […]