Trading

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.

Compliance officers at dually-registered firms and broker-dealers would be advised to heed several "red flags" within OCIE's latest risk alert so as to spot possible ...

The SEC charged two former traders at JP Morgan Chase & Co. with fraudulently overvaluing investments in order to hide massive losses in a portfolio ...

This Risk Alert encourages awareness of options trading activity that could be used to avoid complying with the close-out requirements under Reg SHO. Such activities ...

This is a 2013 proposal from the SEC to amend Form D to include more disclosure from private fund issuers. This is tied to the ...