12/14/2015 | Content area:
The Commission’s complaint alleged that over a 27-month period, Eichler executed block trades in option contracts for several Aletheia-managed account...
10/08/2015 | Content area:
Briargate, an unregistered proprietary trading firm based in New York, New York, and Oscher, one of its principals, utilized a market manipulation str...
7/20/2015 | Content area:
The court backed the SEC's charge that the adviser marked the close of many securities but vacated the Commission Order's imposition of municipal advi...
6/24/2015 | Content area:
This SEC document request letter went to an Adviser within the SEC's San Francisco region in 2015. It includes questions about cybersecurity as well a...
4/13/2015 | Content area:
NFA conducted an examination of McVean Trading in late 2012 which, among other matters, raised questions about the calculation of the performance info...
1/29/2015 | Content area:
Commissioner Giancarlo talks flaws in swaps rules, including limits on methods of trade execution.
10/28/2014 | Content area:
A senior FINRA executive cautions broker-dealers to be sure that their supervisory systems are designed to ensure compliance with Regulation SHO. Brad...
10/30/2013 | Content area:
This is a portion of an SEC document request letter that details items around trading. It also includes the agency's preferred method for firms to sha...
7/17/2012 | Content area:
Click here to open an Excel file that displays the SEC's preferred method for laying out a blotter. You'll find three types: 1. Equities 2. Fixed-inco...
7/18/2011 | Content area:
Click here to open an Excel file, courtesy of Garrett Nagle & Co. in Woburn, Mass., that provides an example of how the firm documents its trading.