Trading

SEC Charges a Third Trader in Louisiana-Based Insider Trading Case

Believe it or not it’s been more than 10 years since the annual review requirement came into place. While the annual review can seem like ...

This action relates to a broker-dealer that effects repurchase transactions on behalf of their institutional customers. The B-D relies on electronic trade confirmations generated by ...

(a) Subject to paragraphs (b), (c), and (d) of this section, the provisions of the Act, including any Commission rule, regulation, or order thereunder, otherwise ...

The swap execution facility shall: (a) Establish and enforce rules or terms and conditions defining, or specifications detailing: (1) Trading procedures to be used in ...

This concerned an exemption from Rules 101 and 102 of Regulation M under the Securities Exchange Act of 1934 in connection with transactions by Santander ...

These are instructions for how to conduct a transaction analysis for forensic testing around trading. This comes courtesy of Krista Zipfel, CEO/president of Advisor Solutions ...

Payment for order flow shall mean any monetary payment, service, property, or other benefit that results in remuneration, compensation, or consideration to a broker or ...

(a) Definitions. For purposes of this section: (1) The term large trader means any person that: (i) Directly or indirectly, including through other persons controlled ...

(a) Scope of section. This section shall apply to any registered broker or dealer that acts as the sponsor of a broker-dealer trading system. (b) ...