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Tag Archives: Regulation ATS
SEC Charges Dark Pool Operator eBX LLC With Failing To Protect Confidential Information
In the Matter of eBX, LLC, Admin. Proc. No. 3-15058. On October 3, 2012, the SEC announced it issued a settled order instituting administrative proceedings and imposing remedial sanctions against eBX, LLC. eBX is a registered broker-dealer. It operates an alternative … Continue reading
Securities Enforcement Blog 