Trading

Anne Plimpton of McDermott Will & Emery gave us permission to share her memo on Exchange Act section 16 filings, including so-called Form 4 and ...

CGMI’s trade surveillance failed to detect these principal transactions for more than two years because it relied on an exception report that was not reasonably ...

A dark pool operator has been hit with the largest SEC penalty to date against an alternative trading system for operating an undisclosed proprietary trading ...

This matter involves violations of the federal securities laws by ITG in the operation of its dark pool and its misuse of customer information between ...

Some private equity advisers offer only one fund. But for those with a more expansive business model, the issue of how to allocate investments among ...

Systemic Order Audit Trail System reporting violations spanning a period of more than eight years have yielded Goldman Sachs Execution & Clearing a $1.8 million ...

Some private equity advisers offer only one fund. But for those with a more expansive business model, the issue of how to allocate investments among ...

IA Watch has discovered a new procurement request from the SEC that seeks a vendor that could supply “24/7/365” access to “historical and reference financial ...

The court backed the SEC's charge that the adviser marked the close of many securities but vacated the Commission Order's imposition of municipal advisor and ...

Mr. Welhouse was interviewed by the Commission staff on January 28, 2014. Mr. Welhouse agreed that the interview could be recorded, and the staff recorded ...