The Securities and Exchange Commission today proposed a new rule that would prohibit national securities exchanges from offering volume-based transaction pricing in connection with the execution of agency or riskless principal (“agency-related”) orders… Full Press Release available at
Tag: securitiesdefense
SEC Charges BlackRock with Failing to Properly Disclose Investments by Publicly Traded Fund it Advised
The Securities and Exchange Commission today charged BlackRock Advisors, LLC, an investment adviser, for failing to accurately describe investments in the entertainment industry that comprised a significant portion of a publicly traded fund it advised.… Full Press Release available at
