Trading

(a) Restriction on futures trading Unless exempted by the Commission pursuant to subsection (c) or by subsection (e), it shall be unlawful for any person ...

It shall be unlawful for any person to make any contract for the purchase or sale of any commodity for future delivery on or subject ...

(a) Prohibition (1) In general Except as provided in paragraph (2), it shall be unlawful for any person to enter into any swap that the ...

It shall be unlawful for any person, against whom there is outstanding any order of the Commission prohibiting him from trading on or subject to ...

(a) Trade acknowledgment requirement. In any transaction in which a security-based swap dealer or major security-based swap participant purchases from or sells to any counterparty ...

As a compliance officer, your role must include examining the personal securities trading of your firm’s employees. The SEC’s Office of Inspector General is now ...

The Commission is adopting new Regulation Systems Compliance and Integrity (Regulation SCI) under the Securities Exchange Act of 1934 (Exchange Act) and conforming amendments to ...

The issue is if the entity can escape the collection of best bid, best offer, and quotation sizes communicated by members of the Exchange under ...

This SEC document request letter from 2014 includes language for the adviser to share a robust trade blotter.

Regulators are fully dialed in to high frequency and algorithmic trading as a focus area. Last week’s “first-ever” market manipulation case against a high-frequency trader ...