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The advent of high-frequency trading and the use of so-called dark pools has shifted the training dynamic. Now, the shrewd compliance officer gets trained on ...
(a) An investment adviser, or a person registered as a broker-dealer under section 15 of the Securities Exchange Act of 1934 and controlling, controlled by, ...
You also seek an exemption to permit certain Santander Spain affiliates to conduct specified transactions in the U.S. in Santander Spain Shares and Santander Spain ...
Adopting a set of compliance policies and procedures that form your firm’s compliance manual makes up only half the battle. The true key is then ...
This hedge fund adviser settled Advisers Act charges related to compliance and trade allocations concerns.
Wedbush Securities, Inc.’s incentive comp structure was “rife with potential conflicts of interest” that created a disincentive for compliance personnel to effectively monitor for trading ...
Securities Exchange Act of 1934Section 11 -- Trading by Members of Exchanges, Brokers, and Dealers Trading for own account or account of associated person; exceptionsIt ...
A federal court in Illinois will begin hearing a case in September involving a reporter's request for SEC records of naked short selling investigations. The ...
While the current, unofficial industry standard is one second, broker-dealers should expect to have to synchronize their trading clocks to within a millisecond (1/1000 of ...
Beginning Aug. 25, FINRA-registered firms will need to have policies and procedures in place to ensure against a "pattern or practice" of self-trades. The SRO ...