Tag: SEC
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The Securities and Exchange Commission (SEC) just released its top enforcement priorities for the year. Rather than dig into systemic fraud in our markets, they’ll be regulating….confetti? Get the blog before anyone else…subscribe! According to a report out this morning on Reuters, the SEC will be focusing on: ”…behavioral prompts,…
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At last count, 57,610 people have signed a petition at Change.org to ban payment for order flow. This practice involves market makers paying brokers for the chance to complete trades. The market makers claim they complete the trade at slightly better than public market prices while still making a small…
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There is a lot of talk lately on Twitter and Reddit about AMC’s withdrawal Tuesday of an obscure SEC form called an S-3. Form S-3 is a filing that registers securities. In this case, the securities were convertible bonds, or bonds that can convert into stock when the holder chooses.…
Tremendous 