Trading

This is an SEC final rule released in July 2011 to foist new reporting requirements on large traders in response to the 2010 “flash crash.”

This is an example of a trade correction policy.

Click here to open an Excel file, courtesy of Garrett Nagle & Co. in Woburn, Mass., that provides an example of how the firm documents ...

Have you checked occasionally the e-mail traffic between your traders and your sales team? This could make a good test for best execution, as the ...

If your portfolio managers dabble in thinly traded securities, you may want to be on the lookout for heavy buying near a quarter's end as ...

Click here to download a peer's personal trading policy.

You've heard of take-your-kid-to-work day. How about the take-your-trader-to lunch idea?Over the meal, ask the trader to describe the process of working a trade - ...

Are you one of those people who doesn't quite feel alive until you've had that first cup of coffee in the morning? Traders can be ...

Here are some suggestions for how to review the trade blotter courtesy of Victoria Hogan of NorthPoint Compliance in Red Bank, N.J.

It's not possible to generalize about how much information portfolio managers share within their firms. There are too many variables, especially the size of a ...