Are Exchanges In The SEC’s Crosshairs?
Statements by certain United States Senators have indicated that they hope the SEC is cracking down on and scrutinizing the activities of the national securities exchanges and associations. Such...
View ArticleWhat Are the Problems with Ticks and Minimum Spreads?
A senior Congressman has indicated that he wants to see a wide-ranging pilot program to examine different minimum spreads for different stocks. He believes that such a program would allow the SEC to...
View ArticleYou Gotta Be A Big Boy To Play In The Private Investment Transaction Game
“Big Boy Letters” are usually used to identify that the buyer in a transaction has made its own independent assessment of certain risks involved and that certain information has not been disclosed to...
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