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Trading Positions (5)
Your search for Trading Positions returned 5 results.
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7/20/2015 | Content area: Investment Adviser
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: Investment Adviser
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...
10/30/2013 | Content area: Investment Adviser
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: Investment Adviser
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: Investment Adviser
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.


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