Proprietary Trading

This is the paper version of Form PF. The SEC now requires electronic reporting of these data

The SEC, along with four other federal financial regulatory agencies, has determined to extend by 30 days the comment period for a proposed rule to ...

The complaint alleged Lumiere took a series of steps to inflate falsely the value of securities held by the Credit Fund resulting in the fund: ...

Message received. The morning of the SEC’s Compliance Outreach Program April 19 officials counted cherry-picking among current exam/enforcement focus areas. That same afternoon the Commission ...

Look for SEC staff to submit a recommendation to the Commission “soon” to publish the consolidated audit trail (CAT) plan for public comment. Stephen Luparello, ...

This is a speech that the SEC's Julie Riewe, co-chief of the Enforcement Division's Asset Management Unit, gave at an IA Watch conference in Washington, ...

SEC Charges Former Brokerage CEO for His Role in Fraudulent Scheme

(a) No transaction, class of transactions, or activity may be deemed permissible under §§75.4 through 75.6 if the transaction, class of transactions, or activity would: ...

(a) Prohibition. Except as otherwise provided in this subpart, a banking entity may not engage in proprietary trading. Proprietary trading means engaging as principal for ...

The small Midwest adviser had never been examined by the SEC, until recently."I was absolutely terrified," says the CCO, who also wears other hats within ...