Trading

This regulatory relief offers three different delays in new rules: 1. 30 days after the shutdown ends 2. Feb. 2026 and 3. Nov. 2026--depending on ...

BAFA sees priorities as reflecting the three core themes of: trade and market access; technology, and proportionate regulation

Some people are just naturally lucky. Of course, there are two types of luck

Consider these two best practices to counter the risk of cherry picking

FINRA reveals that while a broker-dealer's WSPs delegated responsibility for reviewing manipulative trading alerts to compliance, the reviews weren't reasonable

The SEC extends the compliance date for amendments to rules around the disclosure of order executions from Dec. 14 to Aug. 1, 2026

Another lesson this case presents is don’t promise the SEC you will do something—and then not do it

The latest gesture can be seen in a 'Joint Statement' issued by the two regulators to ease the ability to trade certain spot crypto assets

The win rate for the favored accounts hit 91.6% compared with a 31.3%-win rate for the firm’s unfavored accounts

Your confusion over how to handle certain client Treasury transactions took a step toward clarity with new SEC FAQs