Trading

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

    Investment Company Act of 1940 — Section 10(f) and Rule 10f-3 Columbia Funds December 12, 2011 RESPONSE OF THE OFFICE OF CHIEF COUNSEL ...

This is a form, courtesy of Victoria Hogan, president, NorthPoint Compliance in Red Bank, N.J., that can be used when a staffer claims an exception ...

NFA Compliance Rule 2-36(e) places a continuing responsibility on every Forex Dealer Member (FDM) to diligently supervise its employees and agents in all aspects of ...

Avoid pinning blame for trade errors and you could improve your processes in a way that reduces the chances of future mistakes."Coming down on someone ...

With a myriad of platforms available to execute trades and clients dispersed across many of them, it can be a challenge for an adviser to ...

This is a trade rotation policy From Knightsbridge Asset Management in Newport Beach, Calif.