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Proprietary Trading (16)
Your search for Proprietary Trading returned 16 results.
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9/06/2018 | Content area: Investment Adviser
The SEC, along with four other federal financial regulatory agencies, has determined to extend by 30 days the comment period for a proposed rule to si...
4/21/2016 | Content area: Investment Adviser
Message received. The morning of the SEC’s Compliance Outreach Program April 19 officials counted cherry-picking among current exam/enforcement focus ...
2/26/2015 | Content area: Investment Adviser | Private Fund
This is a speech that the SEC's Julie Riewe, co-chief of the Enforcement Division's Asset Management Unit, gave at an IA Watch conference in Washingto...
2/10/2015 | Content area: Investment Adviser
SEC Charges Former Brokerage CEO for His Role in Fraudulent Scheme
7/21/2014 | Content area: Investment Adviser
The small Midwest adviser had never been examined by the SEC, until recently."I was absolutely terrified," says the CCO, who also wears other hats wit...
6/05/2014 | Content area: Investment Adviser
The SEC prosecuted an alleged “cherry-picking” scheme that garnered nearly $2 million in illicit profits.
6/02/2014 | Content area: Investment Adviser
This SEC document is required to be completed quarterly by investment managers with discretion over accounts holding Section 13(f) securities that hav...
4/28/2014 | Content area: Investment Adviser
IA Watch has obtained copies of requests from SEC examiners that ask firms to provide more extensive data when sharing their trade blotters. One docum...
1/13/2014 | Content area: Investment Adviser
OCIE has released its 2014 list of exam priorities, with five new areas examiners will be asking investment advisers about this year. These include wh...
12/02/2013 | Content area: Investment Adviser
The recent embarrassment of an SEC examiner being charged with violating the agency's rules on personal trading (IA Watch, Nov. 25, 2013) won't change...
10/23/2013 | Content area: Investment Adviser
OX Trading provided price improvement by becoming the counterparty to certain customer orders of optionsXpress. As a result of taking the customers’ t...
9/05/2013 | Content area: Investment Adviser
Kugel worked for Bernie Madoff, handling the firm's proprietary trading and market-making operations as well as administering the firm's health and re...
2/25/2013 | Content area: Investment Adviser
Long before there even was a Wall Street, Cassius mouthed the words of Shakespeare that the fault lies not in the stars "but in ourselves." A new book...
3/27/2012 | Content area: Investment Adviser
This is a sample risk assessment that covers nearly 50 potential conflicts and compliance topics.
9/11/2009 | Content area: Investment Adviser
A risk matrix tool courtesy of Krista Zipfel, CEO & President of Advisor Solutions Group in Newport Beach, Calif.
8/17/2009 | Content area: Investment Adviser
A guide to conducting an annual compliance review from William Edick, a partner at Pickard & Djinis in Washington.


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