Trading

Five years after being charged with marking the close of some trades, former adviser Donald Koch is asking the U.S. Supreme Court to vacate the ...

With its proposed rule to heighten disclosures from alternative trading system operators (IA Watch, Nov. 19, 2015), the SEC wants to bring dark pools into ...

In its Complaint, the Commission alleged that Ling, a day-trader, engaged in a manipulative trading scheme by repeatedly marking-the-close and entering into matched trades in ...

FINRA is uncorking a new report card in the New Year aimed at helping broker-dealers identify and prevent manipulative trading activity such as spoofing and ...

The Commission’s complaint alleged that over a 27-month period, Eichler executed block trades in option contracts for several Aletheia-managed accounts, but generally did not allocate these ...

This case involves the perpetration of two fraudulent trading schemes by Behruz Afshar (“Behruz”) and his twin brother, Shahryar Afshar (“Shahryar”), and their close friend, Richard ...

A peer shares an example of a form that provides details of a cross trade.

The SEC again extended the deadline for broker-dealers having to comply with the final phase of the large trader rule, and raised the possibility it ...

Only days after the SEC proposed a rule to shed light on dark pools (IA Watch, Nov. 19, 2015), the CFTC put forth a new ...

There are concerns that have been raised with respect to automated trading that also go beyond the scope of this proposal. These include whether our ...