Trading

Compliance officers at dually-registered firms and broker-dealers would be advised to heed several "red flags" within OCIE's latest risk alert so as to spot possible ...

The SEC charged two former traders at JP Morgan Chase & Co. with fraudulently overvaluing investments in order to hide massive losses in a portfolio ...

This Risk Alert encourages awareness of options trading activity that could be used to avoid complying with the close-out requirements under Reg SHO. Such activities ...

This is a 2013 proposal from the SEC to amend Form D to include more disclosure from private fund issuers. This is tied to the ...

A chief compliance officer who chooses to keep trading records "in my head" rather than in documents is sure to run into trouble, especially if ...

You can call up a website on the other side of the planet with a click of a mouse, yet you may be surprised by ...

You've heard the message before. Pay attention to compliance or pay. This lesson pops up anew in the travails of Foxhall Capital Management ($27M in ...

Last year, about this time, the SEC delayed the compliance date for broker-dealers to comply with aspects of the agency's large trader rule until this ...

If you're an institutional investment manager with discretion over at least $100 million in such assets, you know you have 45 days after each quarter ...

Click here to open an Excel file that a peer shares. It is a worksheet designed to track key information on trade errors.