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Proprietary Trading

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 ...
The complaint alleged Lumiere took a series of steps to inflate falsely the value of securities held by the Credit Fund resulting in the fund: ...
Message received. The morning of the SEC’s Compliance Outreach Program April 19 officials counted cherry-picking among current exam/enforcement focus areas. That same afternoon the Commission ...
Look for SEC staff to submit a recommendation to the Commission “soon” to publish the consolidated audit trail (CAT) plan for public comment. Stephen Luparello, ...
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 Washington, ...
SEC Charges Former Brokerage CEO for His Role in Fraudulent Scheme
(a) Prohibition. Except as otherwise provided in this subpart, a banking entity may not engage in proprietary trading. Proprietary trading means engaging as principal for ...
(a) No transaction, class of transactions, or activity may be deemed permissible under §§75.4 through 75.6 if the transaction, class of transactions, or activity would: ...
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 within ...
The SEC prosecuted an alleged “cherry-picking” scheme that garnered nearly $2 million in illicit profits.
This SEC document is required to be completed quarterly by investment managers with discretion over accounts holding Section 13(f) securities that have an aggregate fair ...
IA Watch has obtained copies of requests from SEC examiners that ask firms to provide more extensive data when sharing their trade blotters. One document, ...
This is a 2014 rule from the CFTC related to the Volcker Rule. It's entitled Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, ...
OCIE has released its 2014 list of exam priorities, with five new areas examiners will be asking investment advisers about this year. These include whether ...
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 the ...
OX Trading provided price improvement by becoming the counterparty to certain customer orders of optionsXpress. As a result of taking the customers’ trades, OX Trading ...
Kugel worked for Bernie Madoff, handling the firm's proprietary trading and market-making operations as well as administering the firm's health and retirement plans.
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." ...
This is a sample risk assessment that covers nearly 50 potential conflicts and compliance topics.
A risk matrix tool courtesy of Krista Zipfel, CEO & President of Advisor Solutions Group in Newport Beach, Calif.
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