Dark Pools in Equity Trading: Policy Concerns and Recent Developments

Shorter, Gary ; Miller, Rena S.

Library of Congress. Congressional Research Service.

关键词: Trade;    Brokers;    Finance;    Securities industry;   

RP-ID  :  R43739
RP-ID  :  R43739_2014Sep26

美国|英语

来源: UNT Digital Library

【 摘 要 】

This report examines the confluence of factors that led to the rise of dark pools; the potential benefits and costs of such trading; some regulatory and congressional concerns over dark pools; recent regulatory developments by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), which oversees broker-dealers; and some recent lawsuits and enforcement actions garnering significant media attention.