Trading

This is an SEC document request letter sent to an advisory firm from the Los Angeles Regional Office. Note the new trade blotter layout in ...

Depending on how you see it, high-frequency trading is either risky legalized front-running or a low-risk way of providing liquidity to the markets.That's how Louise ...

Swenson lnvestments failed to observe high standards of commercial honor and just and equitable principles of trade by treating the "hedge accounts" of certain customers ...

    Investment Company Act of 1940 – Section 7 and Rule 3c-5 Managed Funds Association February 6, 2014 Response of the Investment Adviser Regulation ...

Like striking a match in a tinderbox, engaging in cross trades creates hazards that can easily burn an adviser (see related story). Let's recap the ...

The recent embarrassment of an SEC examiner being charged with violating the agency's rules on personal trading (IA Watch, Nov. 25, 2013) won't change the ...

OX Trading provided price improvement by becoming the counterparty to certain customer orders of optionsXpress. As a result of taking the customers’ trades, OX Trading ...

It wasn't subtle the way the SEC earlier this month released news of 22 settlements and a risk alert around short selling and violating Reg ...

It was born at the height of the financial crisis. Some advocates envision the bitcoin, an Internet currency, as empowering the individual and leading toward ...

This adviser and others were charged with engaging in two distinct schemes: fraudulent trade allocation by “cherry-picking” favorable trades and misusing “soft dollars” commissions.