Trading

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 ...

We look forward to working with our fellow Commissioners and the staff, as well as partnering with market participants to shorten the settlement cycle as ...

This firm must turn to a professional acceptable to the NFA to help with future disclosure documents and the firm's promotional materials. It also must ...

According to the Order, from at least June 2006 through May 2008, Welsh, while working as a broker at MF Global, Inc., received market-on-close orders ...

These proceedings involve Bolan, a research analyst at Wells Fargo Securities, who, in words or in substance, provided notice of at least one forthcoming ratings ...

As described in the Order, cotton merchants and dealers that hold or control at least 100 cotton futures positions, the reportable level for cotton futures ...

Rapid growth via acquisition and aggressive rep recruitment has come at a price for LPL Financial. The nation’s largest independent broker-dealer has been fined $10 ...