"WAM’s compliance department also received a number of automatically generated daily and weekly exception reports that correctly identified the offerings at issue as ones that ...
The Commission estimates that, each month, approximately 1,000 Managers would trigger a Reporting Threshold for at least one security, and therefore be required to file ...
"Today’s proposal would establish a framework for doing this on an aggregate basis for institutional investment managers with gross short positions in certain equity securities ...
For each of the more than 1,050 short sales that Tradition mismarked as long sales in both its customers’ accounts and its principal accounts, Tradition ...