Trading

FINRA charges the firm sent its customers 270 million inaccurate trade confirms dating back from November 2008 through the present

When Victoria Hogan served as an SEC examiner, she often discovered deficiencies simply when interviewing a firm’s traders. That’s why she advises compliance officers do ...

NSC was charged with attempting to artificially influence the aftermarket in 10 offerings for which it served as underwriter

A peer passes on the firm's P&Ps for allocating fixed income trades

System changes triggered a programming defect in BIDS trade advertising software

B-D implemented trading halts on meme stocks only to tout to the public that it refused to do so

This is a sample trade ticket shared by a peer

NorthPoint Compliance shares a tool for you

These records should be kept 'true, accurate and current' and must be held for five years

Association agrees amendments can reduce the credit, market and liquidity risks in securities transactions