Trading

You won’t find an Advisers Act rule directing you how to handle trade errors

SEC examiners will want to see evidence that you’ve compared client trades with staff personal transactions, so be sure to have 'a complete trade blotter'

The Commission may have gotten tipped off by suspicions of Bell Rock’s trading by its unidentified custodian, which terminated its relationship with the adviser over ...

The proposed modernization of the clearance and settlement process comes with a March 31, 2024 compliance date should final rules be adopted

Industry group concludes that the benefits of moving to T+0 wouldn't outweigh the risks

Use this form to document due diligence of non-recommended or non-approved holdings

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