Trading

The topic of soft dollars has lost some of its luster among examiners but enforcement actions continue to emerge from the agency. Expenses, however, remain ...

Compliance can generate commission reports as well as the average cents per share the firm pays. Finance or operations could show a list of vendors ...

"We’ve got dozens of projects at the SEC, from the structure of our stock markets to the digital engagement practices"

Comments from people outside the industry revealed an undercurrent of discontent with Wall Street and the SEC

We are living in a transformational time, perhaps as transformational as the internet itself. Artificial intelligence, predictive data analytics, and machine learning are shaping and ...

In total, on about 3,000 occasions, Polevikov used this material non-public information to execute trades in his wife’s brokerage account in the same securities and ...

Coda did not always provide its subscribers with information indicating where their orders had been routed or executed

Many young people, who access our markets through newer technology—are currently interested in investing in our markets, and I believe this is a wonderful development ...

How are investors protected in light of the potential conflicts of interest that may exist when DEPs optimize for platform revenues, data collection, or investor ...

As you discuss digital platforms and other topics in the future, help us to remember that a regulator who always says no or takes too ...