Trading

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

The SEC's Trading & Markets Division aims to help B-Ds understand rules around certain Treasury transactions with these FAQs

The SEC has 60 days to re-run its numbers on how much it will cost to create and run its 13-year-old proposed consolidated audit trail ...

Here is the latest SEC template for reporting trade blotter information to examiners

By moving those trades from his own account to some of his clients’ and customers’ accounts, Costello transferred his unrealized trading losses to some of ...

Firm overstated trade volume in 3,300 instances by 446 million shares over a three-year period

The relief hinges on the securitization participant maintaining written policies and procedures designed to meet four conditions

Compliance issues were tied to the supervision of outside brokerage accounts and the flow of information between research analysts and trading personnel