Trading

NFA Compliance Rule 2-9 requires NFA Members to meet the standards for security, capacity, and credit and risk-management controls that are set out in this ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 200, 240, and 249RIN 3235-AJ02[Release No. 34-49928; File No. S7-05-04]Collection Practices under Section 31 of the Exchange ActAGENCY:Securities and ...

SECURITIES AND EXCHANGE COMMISSIONRelease No. 34-48545; File No. S7-17-03Business Continuity Planning for Trading MarketsAGENCY:Securities and Exchange Commission.ACTION:Policy statement; request for comment.SUMMARY:The Securities and Exchange Commission ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 Release No. 34-47571; File No. S7-07-03RIN 3235-AI78 Request for Comment on the NYSE Petition Relating to Participant Fee ...

No-Action Letter under: Investment Company Act of 1940 – Section 17j and Rule 17j-1 Investment Advisers Act of 1940 – Section 204 and Rule 204-2 ...

This speech from 2001 outlines SEC expectations for best execution and valuation, especially for fund advisers.

SECURITIES AND EXCHANGE COMMISSION[Release No. 34-42755; File No. 4-434]RIN 3235-AH92Options Price Reporting AuthorityAGENCY:Securities and Exchange Commission.ACTION:Proposed Amendments to National Market System Plan .SUMMARY:The Securities and ...