Trading

New rule will require institutional investment managers meeting or exceeding certain thresholds to report on Form SHO short position data and activity for equity securities

Proposed rule would prohibit national securities exchanges from offering volume-based transaction pricing tied to the execution of agency or riskless principal orders in NMS stocks

The SEC approved rule amendments that shorten the filing deadlines for Schedules 13D and 13G

Fidelity Brokerage Services will pay a $900K penalty to settle FINRA charges it didn't have a system reasonably designed to approve options trading applications

The defendant engaged in a fraudulent “cherry-picking” scheme by disproportionately allocating profitable first-day trades from an average price account to the account of a private ...

SIFMA contends that, when applied to broker-dealers, many of the "core concepts and obligations of the original rule are unsuitable and unworkable"

After several requests by the Commission’s Examination and then Enforcement staff, Cantor conducted a multiyear lookback review for accounts that should have been assigned a ...

For the second time ever--and the second time in two months--FINRA has expelled a broker-dealer for Reg BI violations, including churning and excessive trading

Before engaging in a principal trade, an adviser would first have to disclose certain information to the client

Concerns expressed by both compliance and trading desk about a new account opening fell on deaf ears