Trading

A federal court in Illinois will begin hearing a case in September involving a reporter's request for SEC records of naked short selling investigations. The ...

While the current, unofficial industry standard is one second, broker-dealers should expect to have to synchronize their trading clocks to within a millisecond (1/1000 of ...

Beginning Aug. 25, FINRA-registered firms will need to have policies and procedures in place to ensure against a "pattern or practice" of self-trades. The SRO ...

A firm going through an SEC exam reports intense interest by examiners at what wrap fee sponsors are doing to monitor step-out trades by subadvisers. ...

Michael Lewis's book Flash Boys has had a profound effect on Craig Watanabe, COO at Penniall & Associates ($851M in AUM) in Pasadena, Calif. He ...

The SEC prosecuted an alleged “cherry-picking” scheme that garnered nearly $2 million in illicit profits.

This SEC document is required to be completed quarterly by investment managers with discretion over accounts holding Section 13(f) securities that have an aggregate fair ...

Perhaps you've mulled the best practice Margaret Hornbeck accomplished after we recently revealed OCIE's new 27-item trade blotter template (IA Watch, April 28, 2014). The ...

IA Watch has obtained copies of requests from SEC examiners that ask firms to provide more extensive data when sharing their trade blotters. One document, ...

Click here to open a Word document that comes from an SEC document request of an adviser during an exam. This document lays out the ...