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Trading (272)
Your search for Trading returned 272 results.
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3/20/2019 | Content area: Broker-Dealer
This is the SEC form required to be filed by large traders.
3/04/2019 | Content area: Broker-Dealer
Gennity recommended to four customers a pattern of high-cost, in-and-out trading without any reasonable basis to believe that his customers could make...
3/04/2019 | Content area: Broker-Dealer
Gennity recommended to four customers – Customers 1 through 4 – a pattern of high cost, in-and-out trading without any reasonable basis to believe tha...
1/24/2019 | Content area: Broker-Dealer
FINRA sees growing problems with reps’ discretionary trading, and the range of conduct under scrutiny is broad. The SRO identified discretionary accou...
1/17/2019 | Content area: Investment Adviser
IA Watch has obtained a copy of an Excel file demonstrating the trade blotter format OCIE would like firms to submit during an SEC exam.   The new for...
12/19/2018 | Content area: Broker-Dealer
The Securities and Exchange Commission (“Commission” or “SEC”) is adopting a new rule of Regulation National Market System (“Regulation NMS”) under th...
11/13/2018 | Content area: Broker-Dealer
This document makes technical corrections to a rule that was published in the Federal Register on August 7, 2018.
11/07/2018 | Content area: Broker-Dealer
ITG did not adequately limit access to GATE, a firm system containing all order flow routed through ITG, including open child-level POSIT order inform...
10/25/2018 | Content area: Broker-Dealer
A cryptocurrency trading suspension and an emergency halting of a planned initial coin offering have both been initiated by the SEC this month. The ma...
9/28/2018 | Content area: Broker-Dealer
The SEC's complaint alleges that Bressman placed trades using the allocation account and cherry-picked profitable trades, which he then transferred to...
9/27/2018 | Content area: Investment Adviser
The end of September represents the end of the SEC’s 2018 fiscal year and the inevitable analysis of its Enforcement Division’s statistics. But the di...
9/27/2018 | Content area: Investment Adviser
The manner in which Harrison effected the trades on behalf of Putnam resulted in undisclosed favorable treatment of certain advisory clients over othe...
9/20/2018 | Content area: CPO/CTA
Be on the lookout for signs of a trader who immediately cancels futures orders just after placing them.   That behavior is highlighted in a new CFTC e...
9/20/2018 | Content area: Investment Adviser
Perkins reaped substantial profits at his clients' expense by cherry-picking trades. Perkins allegedly traded securities in World Tree's omnibus accou...
9/13/2018 | Content area: Broker-Dealer
Suspect that one of your reps may be engaged in excessive trading? Better investigate or put some meaningful restraints in place. Otherwise, you risk ...
8/30/2018 | Content area: Broker-Dealer
Mismarking can be costly. Citigroup Global Markets has paid a $5.75 million fine for failing to supervise a group of traders who mismarked the value o...
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...
8/23/2018 | Content area: Investment Adviser
Cross trading practices inconsistent with its compliance P&Ps, regulatory compliance manual and Forms ADV have yielded SEC charges against a New York-...
8/23/2018 | Content area: Broker-Dealer
The “red flags” at Interactive Brokers were waving for over three years.  Internal audit findings, along with “multiple” internal warnings from its cl...
8/17/2018 | Content area: Investment Adviser
BKS had a compliance manual that included a policy for “Block Order Allocation.” This policy required that “All block order allocations will be fair a...


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