Proprietary Trading

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.