Trading

FAV’s compliance department discovered the breaches of the limits in Section 12(d)(1)(A)

Tannen negligently disregarded that the Brokers would be conducting unauthorized trades in these customer accounts. Tannen was compensated $20,000 for his actions

The Commission is proposing a set of principles for DCMs to address the prevention, detection, and mitigation of market disruptions and system anomalies associated with ...

Firm made misrepresentations about how it handled certain trade orders

Clients, however, did not have this information available to them because execution costs from trading away were not visible to clients on their account documents ...

This is an example of a trade ticket submitted by a peer

Submissions contained missing or inaccurate data for nearly five years

A peer shares a sample trade allocation policy

Check out this sample of a best execution policy

The rule amendments initially advanced in 2016 have been a long time coming