Trading

The SEC finalizes this rule that will increase the transparency and efficiency of the securities lending market by requiring certain persons to report information about ...

The SEC announced Oct. 19 its third enforcement action of the year involving violations of the short selling trading rule

New rule will require institutional investment managers meeting or exceeding certain thresholds to report on Form SHO short position data and activity for equity securities

Proposed rule would prohibit national securities exchanges from offering volume-based transaction pricing tied to the execution of agency or riskless principal orders in NMS stocks

The SEC approved rule amendments that shorten the filing deadlines for Schedules 13D and 13G

Fidelity Brokerage Services will pay a $900K penalty to settle FINRA charges it didn't have a system reasonably designed to approve options trading applications

The defendant engaged in a fraudulent “cherry-picking” scheme by disproportionately allocating profitable first-day trades from an average price account to the account of a private ...

This is the paper version of Form PF. The SEC now requires electronic reporting of these data

SIFMA contends that, when applied to broker-dealers, many of the "core concepts and obligations of the original rule are unsuitable and unworkable"

After several requests by the Commission’s Examination and then Enforcement staff, Cantor conducted a multiyear lookback review for accounts that should have been assigned a ...