Trading

SEC examiners plan to continue to conduct examinations and engage in outreach with firms to assess their T+1 preparedness

One of the seven FAQs addresses IA recordkeeping requirements tied to T+1 transition

Public privy to the dissemination of U.S. Treasury transactions on a trade-by-trade basis

Among other things, EXAMS may review whether and how Registrants have evaluated the potential impact of the final rules on their: (i) business activities; (ii) ...

SEC Chairman welcomes the coming change to the "market plumbing" of clearance and settlement

"While many Americans will be celebrating the unofficial start of summer over Memorial Day weekend, another important thing will be happening. We will transition in ...

Two employees involved with large blocks trades disclosed to certain buy-side investors non-public, potentially market-moving information, concerning impending "block trades, violating the selling shareholders’ expectations ...

Effective Nov. 30 FINRA is discontinuing the collection of data under rule 4540 used in the Integrated National Surveillance and Information Technology Enhancements program

The SEC finalizes this rule that will increase the transparency and efficiency of the securities lending market by requiring certain persons to report information about ...

The SEC announced Oct. 19 its third enforcement action of the year involving violations of the short selling trading rule