Trading

FINRA lists 20 questions that it seeks responses to concerning day trading account approval and risk disclosure requirements

The onset of the COVID-19 pandemic resulted in highly stressed market conditions for commercial paper, debt securities issued by banks, and asset-backed securities, particularly for ...

SEC chairman covered developments in equity market structure, central clearing, short selling, and digital engagement practices

"We’ve also seen brokerages and investment advisers use sophisticated analytic tools to interact with investors .... Broker-dealers and investment advisers, regardless of whether they are ...

This new SEC final rule amends NMS rules regarding minimum pricing increments for the quoting of certain NMS stocks. It also reduces the access fee ...

The SEC’s settlement suggests one compliance action you could consider

The SEC charged the spoofing scheme was orchestrated by the then-head of TD Securities Treasuries' trading desk

The shift to T+1 "has provided the appropriate balance between increasing efficiencies and mitigating risk for the industry," reports says

Cetera did not require the reps to place aggregated orders through internal systems, which would have prevented the post-trade allocations from being made

This comes courtesy of Lisa Marsden of Colter Strategic Services in Coral Springs, Fla.