Trading

Commissioner suggests best way to address potential conflict is not to ban practice but require better disclosure

The move to T+2 in 2017 came with the requirement to evaluate a shorter settlement cycle within three years

Objective reviews refer to looking at client objectives versus how the account was actually managed

Individual not formally associated with firm allowed to advise clients

A peer shares a checklist for ensuring that your trade tickets or trade blotters contain the necessary items to satisfy the Investment Advisers Act's books ...

Supervisory failures resulted in reps making unsuitable recommendations and excessively trading accounts

Largest source of revenue not detailed in retail communications over a three-year period

A broker-dealer must not allow payment for order flow to interfere with its efforts to obtain best execution

While CAT has been firmly established as an operational regulatory reporting system, 2021 will be another important year of milestones for CAT, with transaction reporting, ...

OCIE encourages both investment advisers and broker-dealers to thoroughly review and, where appropriate, amend their supervisory and compliance policies and procedures to ensure compliance with ...