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Rules (28)
Your search for Rules returned 28 results.
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4/10/2017 | Content area: Investment Adviser
A peer shares a checklist for ensuring that your trade tickets or trade blotters contain the necessary items to satisfy the Investment Advisers Act's ...
6/09/2014 | Content area: Broker-Dealer
Sayena Mostowfi doesn't get the hubbub around high frequency trading. "All it is is electronic trading at higher speeds," says the senior analyst at t...
6/09/2014 | Content area: Investment Adviser
More light may be cast on dark pools and high-frequency trading, and firms that use algorithmic strategies may be mandated to do risk management. Thes...
1/28/2013 | Content area: Investment Adviser
With the publishing in the Federal Register last week of the SEC's new lost securities rule, it's a good time to take a second look at it (IA Watch, J...
7/16/2012 | Content area: Investment Adviser | CPO/CTA
Last week the SEC and the CFTC moved a big step forward in honoring their Dodd-Frank obligation to regulate derivatives by defining key terms like "sw...
4/30/2012 | Content area: Investment Adviser
The SEC last week released an order extending the deadline for broker-dealers to report large trader data to the Commission, which was to begin April ...
1/02/2012 | Content area: Investment Adviser
It's been about a year since California's law changed in a way that could force some advisers and their sales staff to register as lobbyists when goin...
3/30/2011 | Content area: Investment Adviser
Victoria Hogan, president of NorthPoint Compliance in Red Bank, N.J., shares a list of questions compliance staff can anticipate traders may be asked ...
7/09/2010 | Content area: Broker-Dealer
A proposed rule with comment period from the SEC related to eliminating the flash order exception from rule 602 of Regulation NMS. This was proposed i...
4/20/2009 | Content area: Investment Adviser
In a story last week (IA Week, April 13, 2009) entitled "grade these ideas for annual review test from your peers," James Jones, CCO/director of opera...
5/24/2006 | Content area: Broker-Dealer
SECURITIES AND EXCHANGE COMMISSION17 CFR PART 242[Release No. 34-53829; File No. S7-10-04]Regulation NMSAGENCY:Securities and Exchange Commission.ACTI...
9/12/2005 | Content area: Broker-Dealer
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 242[Release No. 34-52196; File No. S7-10-04]Regulation NMSAGENCY:Securities and Exchange Commission.ACTI...
9/12/2005 | Content area: Broker-Dealer
SECURITIES AND EXCHANGE COMMISSION17 CFR PART 240[Release No. 34-51983; File No. S7-02-04]RIN 3235-AI02Amendments to the Penny Stock RulesAGENCY:Secur...
10/24/2003 | Content area: Broker-Dealer
SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 240 [Release No. 34-48690; File No. S7-21-03] RIN 3235-AI96 Alternative Net Capital Requirements f...
5/14/2003 | Content area: Investment Adviser
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 Release No. 34-47849; File No. S7-11-03RIN 3235-AI86Request for Comment on Nasdaq Petition Relating ...
4/08/1999 | Content area: Broker-Dealer
SECURITIES AND EXCHANGE COMMISSION17 CFR PART 240Release No. 34-41261; File No. S7-5-99RIN: 3235-AH40Publication or Submission of Quotations Without S...
2/25/1999 | Content area: Broker-Dealer
SECURITIES AND EXCHANGE COMMISSION17 CFR PART 240 Release No. 34-41110; File No. S7-5-99 RIN: 3235-AH40 Publication or Submission of Quotations Withou...
4/17/1998 | Content area: Broker-Dealer
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 240 and 249[Release No. 34 - 39885; File No. S7-13-98]RIN 3235-AH39Proposed amendment to Rule 19b-4, un...
2/27/1998 | Content area: Broker-Dealer
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 200, 240, 249(Release No. 34-39704; File Nos. S7-30-97; S7-31-97; S7-32-97)RIN 3235-AH16, 3235-AG18, 32...
2/17/1998 | Content area: Broker-Dealer
SECURITIES AND EXCHANGE COMMISSION17 CFR PART 240Release No. 34-39670; File No. S7-3-98RIN:Publication or Submission of Quotations Without Specified I...


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