Trading

SEC Chairman welcomes the coming change to the "market plumbing" of clearance and settlement

"While many Americans will be celebrating the unofficial start of summer over Memorial Day weekend, another important thing will be happening. We will transition in ...

Two employees involved with large blocks trades disclosed to certain buy-side investors non-public, potentially market-moving information, concerning impending "block trades, violating the selling shareholders’ expectations ...

Effective Nov. 30 FINRA is discontinuing the collection of data under rule 4540 used in the Integrated National Surveillance and Information Technology Enhancements program

The SEC finalizes this rule that will increase the transparency and efficiency of the securities lending market by requiring certain persons to report information about ...

The SEC announced Oct. 19 its third enforcement action of the year involving violations of the short selling trading rule

New rule will require institutional investment managers meeting or exceeding certain thresholds to report on Form SHO short position data and activity for equity securities

Proposed rule would prohibit national securities exchanges from offering volume-based transaction pricing tied to the execution of agency or riskless principal orders in NMS stocks

The SEC approved rule amendments that shorten the filing deadlines for Schedules 13D and 13G

Fidelity Brokerage Services will pay a $900K penalty to settle FINRA charges it didn't have a system reasonably designed to approve options trading applications