Cryptocurrency

To the victor go the spoils. Only weeks after a federal jury acquittedNelson Obus and other defendants in a long-running SEC case claiming insider trading, ...

FINRA employs 37 people who are dedicated to monitoring the markets for insider trading, revealed Samuel Draddy, senior VP in charge of FINRA's Office of ...

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 the ...

Perhaps you've mulled the best practice Margaret Hornbeck accomplished after we recently revealed OCIE's new 27-item trade blotter template (IA Watch, April 28, 2014). The ...

This is an SEC document request letter from an exam out of the San Francisco regional office begun in 2013.

A federal judge last week ended the government's criminal case against S.A.C. Capital Advisors ($41B in AUM) in Stamford, Conn., by approving a plea deal ...

IA Watch has now obtained more SEC document request letters stemming from OCIE's new never-been-examined initiative (IA Watch, March 24, 2014). Advisers are receiving relatively ...

The SEC obtains a judgment against a defendant and his expert consulting firm in an insider trading case.

The announcement of the never-been-examined initiative isn't the only new development out of OCIE (IA Watch, Feb. 24, 2014). This month, examiners will begin using ...

An Appeal Courts decision last week couldn't have been good news for Joseph Contorinis as the former portfolio manager for a hedge fund sat in ...