Trading

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) ...

(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 ...