Trading

We've shared techniques your peers use to monitor the trading desk (IA Watch, May 10, 2010). You also may consider simply flipping through the trade ...

You won't find any mention of fair allocation in the Advisers Act but the concept has evolved through SEC no-action letters and enforcement cases, and ...

The heart of your firm beats within the confines of the trading desk, and you have a responsibility to monitor what goes on there. Best ...

Click here to see an Excel spreadsheet from one of your peers that's called a Monthly Portfolio Compliance Report, and allows you to track trades ...

Perhaps it was the summer time but fails to deliver securities fell 25% compared with the second quarter of 2009, according to an IA Watch ...

While SEC examiners will inquire how your firm handles trade errors, there is no formal rule spelling out your obligations. However your responsibilities stem from ...

A good code of ethics contains a specific policy directed at personal trading. Enforcing your rules can be helped by asking the right questions with ...

A fair valuation request form, courtesy of David Hunt, that lays out a good procedure to substantiate valuation of a security.

If a trader produces more than one trade error a week or if a specific client's account suffers multiple trade errors within a few days, ...

This is a rule governing short selling around a public offering