All dark pools articles

  • Blog post

    SEC adopts rules to enhance oversight of Alternative Trading Systems


    With the intent of significantly enhancing operational transparency and regulatory oversight, the Securities and Exchange Commission on July 18 voted to adopt amendments to the regulatory requirements governing alternative trading systems, commonly known as “dark pools.”

  • Blog post

    Barclays, Credit Suisse to Pay $150 Million for Dark Pool Violations


    The Securities and Exchange Commission last month announced that Barclays Capital and Credit Suisse Securities have agreed to settle separate cases for violating federal securities laws while operating alternative trading systems known as dark pools and Credit Suisse’s Light Pool. Both firms collectively will pay more than $150 million to ...

  • Blog post

    SEC Proposes Rules for Alternative Trading Systems


    The SEC has proposed rules intended to enhance regulatory oversight of alternative trading systems that, because of their off-exchange equity deals, are often described as “dark pools.” They would be required to disclose on a new Form ATS-N details about the activities of broker-dealer operators. The proposal also requires all ...