Trading

The SEC charged the spoofing scheme was orchestrated by the then-head of TD Securities Treasuries' trading desk

The shift to T+1 "has provided the appropriate balance between increasing efficiencies and mitigating risk for the industry," reports says

Cetera did not require the reps to place aggregated orders through internal systems, which would have prevented the post-trade allocations from being made

This comes courtesy of Lisa Marsden of Colter Strategic Services in Coral Springs, Fla.

RCW shares a new SEC exam sweep document request letter going to advisers

This is the sweep document request letter sent to advisers in the summer of 2024

FINRA determined that SpeedTrader's supervisory system for potential manipulative trading was not reasonable in four key respects

Given that the SEC ushered in a quicker trade settlement rule in May, you would expect the DOE to conduct a sweep exam to assess ...

SEC Division of Examinations sweep exam assessing how the T+1 settlement change is going

Broker-dealer failed to "reasonably respond" to trading in 100 customer accounts that appeared to be potentially excessive and unsuitable