Trading

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 ...

I believe we now owe it to market participants, investors, and ordinary consumers to ensure that a reasonable level of regulation exists over this ...

There is strong reason for concern about maintaining the confidentiality of this source code. As we all know, the federal government has a poor track ...

The Commission is proposing to amend Regulation ATS to adopt Form ATS-N. Proposed Form ATS-N would require NMS Stock ATSs to provide information about the ...

SEC Commissioners moved this week to amend Regulation ATS to require dark pools to report data. They approved a proposed rule that would bring greater ...