Mahlet Ayalew

Mahlet Ayalew

WilmerHale

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SEC Proposes Significant Regulatory Changes for Alternative Trading Systems

On November 18, 2015, the Securities and Exchange Commission (“SEC” or “Commission”) proposed significant changes to the regulatory requirements applicable to dark pools and other alternative trading systems (“ATSs”) that...more

1/5/2016  /  Algorithmic Trading , Alternative Trading System (ATS) , Broker-Dealer , Confidential Information , Dark Pool , Filing Requirements , Institutional Investors , Proposed Regulation , Securities and Exchange Commission (SEC) , Third-Party Service Provider

A Bold New Regulatory Landscape for Research: SEC Approves FINRA Rules Addressing Conflicts of Interest for Equity and Debt...

More than ten years after the Global Research Settlement and the adoption of NASD Rule 2711, the Securities and Exchange Commission (SEC or Commission) has approve new FINRA rules addressing conflicts of interest for both...more

7/28/2015  /  Conflicts of Interest , Debt Securities , Equity Securities , Financial Analysts , Financial Industry Regulatory Authority (FINRA) , Investment Banks , NASD , Proposed Regulation , Securities and Exchange Commission (SEC)
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