Trading

A peer shares a checklist for ensuring that your trade tickets or trade blotters contain the necessary items to satisfy the Investment Advisers Act's books ...

Supervisory failures resulted in reps making unsuitable recommendations and excessively trading accounts

Largest source of revenue not detailed in retail communications over a three-year period

A broker-dealer must not allow payment for order flow to interfere with its efforts to obtain best execution

While CAT has been firmly established as an operational regulatory reporting system, 2021 will be another important year of milestones for CAT, with transaction reporting, ...

OCIE encourages both investment advisers and broker-dealers to thoroughly review and, where appropriate, amend their supervisory and compliance policies and procedures to ensure compliance with ...

Say, your policy calls for a pro rata allocation. Here’s one example of how this might work

rading and Markets is concerned about illicit activities involving low-priced securities transactions

Engage in forensic testing to spot if some trade errors aren’t being reported. Be clear how you calculate a trade error and keep that documentation

A peer passes along the firm's P&Ps for trade errors