Trading

Proportional distribution of similar securities - a pro-rata approach - forms the preferred method your peers use to ensure clients aren't disadvantaged in a block ...

Knight Capital hasn't revealed exactly what happened Aug. 1 when "a technology issue" sent "numerous erroneous orders" to the New York Stock Exchange, sapping market ...

Making consistent gains in a market with as much volatility as seen in recent years challenges even the smartest Wall Street wizards. Richard Schmitt believes ...

Click here to open an Excel file that displays the SEC's preferred method for laying out a blotter. You'll find three types: 1. Equities 2. ...

You're technically on the hook to pay a licensing fee for the use of the copyrighted material

Brokers may be directing your trade executions through certain exchanges because they're getting rebates that could increase trading costs by $5 billion annually, according to ...

The SEC last week released an order extending the deadline for broker-dealers to report large trader data to the Commission, which was to begin April ...

This is a draft guide produced by the SEC in 2012 to help firms that wish to file their Form PFs using an XML Format.

Beyond daily tasks, you may consider reviewing "trade breaks, unfilled bids and offers, paper tickets and changes in venues where trades are executed," changes in ...

This Risk Alert encourages firms to review their controls designed to prevent unauthorized trading and other unauthorized activities