Trading

This is the part of the SEC's proposed new Regulation Best Execution that calls for an annual review

This is a proposed rule under the SEC's Regulation Best Interest that focuses on P&Ps and other obligations

This is the SEC's proposed standard for its best execution proposed rule

The SEC approved four separate, but interrelated, proposals that affect equity market structure

Compliance lapse led Barclays Capital to overstate its advertised trading volume in thousands of instances and by 147 million shares

"I think investors should have easy access to information that details just how good of a job their brokers are doing. Thus, today’s proposal would ...

Amendments are aimed at more timelier reporting and the enhancement of the regulatory audit trails for U.S. Treasury securities

"The Commission’s analysis about the forgone price improvement, the so-called 'competitive shortfall,' ignores the fact that the current market is not static"

"The proposing release acknowledges that wholesalers do generally provide some price improvement relative to national securities exchanges. So what is the need for the proposed rule, ...

"The proposal would implement a modernized, more-flexible definition for round lots"