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BAG’s compliance manual included P&Ps requiring that trade orders include instructions for how the shares in the block trade are to be allocated. However, Brander ...
Increase in electronic trading a factor in FINRA proposing reducing the trade reporting timeframe for TRACE-eligible securities
Scheme involved placing and then, seconds before the market close, cancelling "Closing D Orders"
It’s been a long time coming but this month brings the compliance date for the SEC’s derivatives rule. Mark Aug. 19th on your calendar
Here’s a rundown on what it entails for those registered fund advisers that invest in derivatives
Innovations systems
B-Ds automated surveillance system produced up to 500,000 alerts for manipulative trading per year
FINRA charges the firm sent its customers 270 million inaccurate trade confirms dating back from November 2008 through the present
When Victoria Hogan served as an SEC examiner, she often discovered deficiencies simply when interviewing a firm’s traders. That’s why she advises compliance officers do ...
NSC was charged with attempting to artificially influence the aftermarket in 10 offerings for which it served as underwriter

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