Trading

There is no higher market structure priority for SEC Chair Mary Jo White than to ensure Commission consideration of a final CAT plan before year-end, ...

FINRA has fined Barclays Capital $1.3 million for “systemic” Order Audit Trail System reporting violations. The SRO discovered 15 system issues at the firm that ...

The SEC has long trained its sights on wrap fee programs (IA Watch, Aug. 4, 2014). The latest example of this interest can be seen ...

An SEC Commissioner has charged that the agency’s delay in issuing a proposal to shorten the trade settlement cycle from three business days after a ...

The transparency that the proposed rule would provide to customers about the handling of their orders also holds great promise. Like our proposal last fall ...

Following the July 1, 2014 meeting, no one from either ICG Ops or Compliance took any meaningful action to escalate the EBS reporting issue to ...

The delay in issuing a T+2 proposal is wholly unacceptable. That the rulemaking has languished is not only frustrating to me personally, but is ...

FINRA has fined Deutsche Bank Securities a record $6 million for failing to provide timely, complete and accurate “blue sheets” trade data in an automated ...

Leveraged trades conceived by Merrill Lynch in the dark days of the financial crisis has led to a huge fine against the dual-registrant years after ...

If you question how closely your clients read your Form ADV, imagine the reaction you might receive if it disclosed that $329,000 in soft dollars ...