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High Frequency Trading (25)
Your search for High Frequency Trading returned 25 results.
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8/30/2018 | Content area: Investment Adviser
Once again, evidence emerges of the heavy cost of not listening to concerns raised by compliance staff.   When a compliance official at Aegon USA Inve...
8/27/2018 | Content area: Investment Adviser
AUIM failed to adopt and implement certain compliance policies and procedures, including failing to take reasonable steps to ensure that: (1) its quan...
8/27/2018 | Content area: Investment Adviser
Beman, who served as AUIM’s Global Chief Investment Officer at all relevant times, was a cause of these violations. Beman, despite being aware of the ...
8/27/2018 | Content area: Investment Adviser
Respondents marketed all of the Products and Strategies as “managed using a proprietary quant model,” and highlighted, when marketing certain of the P...
10/22/2014 | Content area: Investment Adviser
Regulators are fully dialed in to high frequency and algorithmic trading as a focus area. Last week’s “first-ever” market manipulation case against a ...
10/17/2014 | Content area: Investment Adviser
On the same day the SEC reported bringing a record amount of enforcement actions in FY 2014 and touting a number of “first-ever” cases, the Commission...
7/03/2014 | Content area: Investment Adviser
6/23/2014 | Content area: Investment Adviser
Michael Lewis's book Flash Boys has had a profound effect on Craig Watanabe, COO at Penniall & Associates ($851M in AUM) in Pasadena, Calif. He was so...
5/29/2014 | Content area: Investment Adviser | Broker-Dealer
Remarks at Municipal Securities Rulemaking Board's 1st Annual Municipal Securities Regulator Summit Commissioner Daniel M. Gallagher Washington, DC...
4/07/2014 | Content area: Investment Adviser
Depending on how you see it, high-frequency trading is either risky legalized front-running or a low-risk way of providing liquidity to the markets.Th...
4/02/2014 | Content area: Investment Adviser | Broker-Dealer
Taking an Informed Approach to Issues Facing the Mutual Fund Industry Commissioner Luis A. Aguilar Washington, DC April 2, 2014 Good afternoon. T...
1/09/2014 | Content area: Investment Adviser
This is the list of OCIE exam priorities for 2014. This was released Jan. 9, 2014.
12/05/2013 | Content area: Investment Adviser | Broker-Dealer
�Seeing Capital Markets Through Investor Eyes� Commissioner Luis A. Aguilar U.S. Securities and Exchange Commission Washington, D.C. Dec. 5, 2013...
11/11/2013 | Content area: Investment Adviser
Two seconds. That's less time than it takes to read this sentence. Yet in today's world of high-frequency trading, it could prove to be a blazing trad...
8/21/2013 | Content area: Investment Adviser
7/22/2013 | Content area: Investment Adviser | Broker-Dealer
FINRA last week issued a targeted sweep letter seeking information about the controls that high-frequency trading firms use when developing and using ...
5/13/2013 | Content area: Investment Adviser | Broker-Dealer
New SEC Chairman Mary Jo White made her official budget request to a House panel last week, seeking $1.67 billion for Fiscal Year 2014, an 18 percent ...
2/25/2013 | Content area: Investment Adviser
This is a list of OCIE's 2013 exam priorities. This marked the first time the SEC has ever published such exam priorities. This is designed to give fi...
10/02/2012 | Content area: Investment Adviser
    Introductory Remarks at SEC’s Market Technology Roundtable by Chairman Mary L. Schapiro U.S. Securi...
8/13/2012 | Content area: Investment Adviser | Broker-Dealer
Given the recent problem Knight Capital experienced, reportedly due to a malfunctioning algorithm - a problem that cost the firm $400 million - regula...


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