Trading

In a bid to require the SEC to implement a more rigorous, fair and public process for the granting of disqualification waivers, Rep. Maxine Waters ...

The requester asked that its Global Markets Divisions be permitted to continue to engage in derivative arbitrage and hedging activities, as well as stock borrowing ...

SEC Obtains a Preliminary Injunction Against Two Former Employees of Capital One Financial Corporation for Insider Trading

SEC Charges a Third Trader in Louisiana-Based Insider Trading Case

Believe it or not it’s been more than 10 years since the annual review requirement came into place. While the annual review can seem like ...

This action relates to a broker-dealer that effects repurchase transactions on behalf of their institutional customers. The B-D relies on electronic trade confirmations generated by ...

(a) Subject to paragraphs (b), (c), and (d) of this section, the provisions of the Act, including any Commission rule, regulation, or order thereunder, otherwise ...

The swap execution facility shall: (a) Establish and enforce rules or terms and conditions defining, or specifications detailing: (1) Trading procedures to be used in ...

This concerned an exemption from Rules 101 and 102 of Regulation M under the Securities Exchange Act of 1934 in connection with transactions by Santander ...

These are instructions for how to conduct a transaction analysis for forensic testing around trading. This comes courtesy of Krista Zipfel, CEO/president of Advisor Solutions ...