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Recent SEC Order Reiterates Need For Affirmative Whistleblower Exclusion - Whistleblowing

Recent SEC Order Reiterates Need for Affirmative Whistleblower Exclusion | Seyfarth Shaw LLP

Everyone generally agrees that people and organizations should be able to protect their proprietary and valuable information. But one area where we’ve seen legislative fretting is when.

Form 485APOS EA Series Trust

Form 485APOS EA Series Trust
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SEC Request For Comment On

BOX Exchange Order And Quote Message Behavior

<p>BOX Exchange LLC (the &ldquo;Exchange&rdquo;) has previously distributed RC-2020-36 and RC-2022-04 to detail order and quote message behavior that is not allowed on the BOX Options Market (&ldquo;BOX&rdquo;) systems. An intentional pattern or practice of the following by any Firm or BOX Options Participant may be considered a violation of Exchange Rule 3000 (Just and Equitable Principles of Trade):</p>

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