Trading

The issue is if the entity can escape the collection of best bid, best offer, and quotation sizes communicated by members of the Exchange under ...

This SEC document request letter from 2014 includes language for the adviser to share a robust trade blotter.

Regulators are fully dialed in to high frequency and algorithmic trading as a focus area. Last week’s “first-ever” market manipulation case against a high-frequency trader ...

The advent of high-frequency trading and the use of so-called dark pools has shifted the training dynamic. Now, the shrewd compliance officer gets trained on ...

(a) An investment adviser, or a person registered as a broker-dealer under section 15 of the Securities Exchange Act of 1934 and controlling, controlled by, ...

You also seek an exemption to permit certain Santander Spain affiliates to conduct specified transactions in the U.S. in Santander Spain Shares and Santander Spain ...

Adopting a set of compliance policies and procedures that form your firm’s compliance manual makes up only half the battle. The true key is then ...

This hedge fund adviser settled Advisers Act charges related to compliance and trade allocations concerns.

Wedbush Securities, Inc.’s incentive comp structure was “rife with potential conflicts of interest” that created a disincentive for compliance personnel to effectively monitor for trading ...

Securities Exchange Act of 1934Section 11 -- Trading by Members of Exchanges, Brokers, and Dealers Trading for own account or account of associated person; exceptionsIt ...