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Porter Wright Morris & Arthur LLP | USA | 18 Nov 2010
Altered records, lack of procedures yields sanctions
Altering compliance records prior to their production for an examination and inadequate procedures to control the flow of nonpublic information became the predicate for sanctions against a broker dealer, an investment adviser and the chief compliance officer of both.
Porter Wright Morris & Arthur LLP | USA | 10 Nov 2009
Dark pools and the two-tiered market
Last month the SEC voted to issue rules to increase transparency of "dark pools" of liquidity.