Trading

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 ...

Idris Dayo Mustapha hacked into numerous accounts of U.S. customers of broker-dealers in and outside the U.S. The complaint alleges that Mustapha placed stock trades ...

ML willfully violated Section 15(c)(3) of the Exchange Act and Rule 15c3-3 thereunder. Known as the Customer Protection Rule (“Rule”), Rule 15c3-3 requires broker-dealers to ...

FINRA recently released FAQs to supplement the guidance the SRO provided in a January Trade Reporting Notice addressing a firm’s OTC equity trading and reporting ...

From approximately July 2010 through January 2011 (the “Relevant Period”), Respondents engaged in fraudulent trade allocation – “cherry-picking.” Respondents disproportionately allocated profitable trades to proprietary accounts ...