Trading

Deutsche Bank did not inform clients or potential clients that it added new venues to the DPRM based on subjective judgment rather than historical execution ...

Despite “repeatedly” receiving compliance inquiries from multiple brokerage firms concerning potentially manipulative trades, two traders managed to allegedly reap more than $26 million in profits ...

From at least January 2010 to at least August 2014, TPG and Phillips unfairly and systematically allocated profitable trades to a set of accounts while ...

The CFTC charged them with unlawfully manipulating, attempting to manipulate, spoofing, and use of a manipulative device — all with regard to the E-mini S&P ...

The long-awaited National Market System plan to create a Consolidated Audit Trail was approved Nov. 15 by a unanimous vote of the SEC’s commissioners. The ...

I also want to underscore that the Commission is also very closely focused on information security with respect to its own interaction with CAT. ...

As we just heard, the CAT raises significant data security concerns, both with respect to trading information and personally identifiable information (“PII”). I have ...

Under the amended CAT Plan, LEIs for industry members and customers are not required. This will leave regulators and industry participants near-sighted and unable ...

The SEC approved Oct. 19 a FINRA rule proposal that will require broker-dealers to report transactions in U.S. Treasury securities through the TRACE system. A ...

The inaccurate reporting of millions of trades over the course of almost five years has now cost Merrill Lynch $2.8 million. FINRA fined the firm ...