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| January 2010 |
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| SEC Proposes Regulation of Dark Pools |
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Basil V. Godellas
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This article was first published in the Money Manager’s Compliance Guide. © 2010 Thompson Publishing Group, Washington, D.C. It is posted with their permission.
As part of its efforts to
strengthen investor confidence in U.S. equity markets, the SEC recently proposed rules to enhance regulation of so-called “dark pools.” The express intention of the proposal is to promote transparency, fairness and efficiency in the markets. The SEC released the proposal on the heels of its proposed rule to prohibit “flash orders.” |
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