Trading

He engaged in "a pattern of high cost, in-and-out trading without any reasonable basis to believe that his recommendations were suitable for anyone"

Proposal bans Commission personnel from investing in financial industry sector funds

The proposed rule would prohibit a restricted competition trading center from internally executing certain orders of individual investors at a price unless the orders are ...

This is the part of the SEC's proposed new Regulation Best Execution that calls for an annual review

This is a proposed rule under the SEC's Regulation Best Interest that focuses on P&Ps and other obligations

This is the SEC's proposed standard for its best execution proposed rule

The SEC approved four separate, but interrelated, proposals that affect equity market structure

Compliance lapse led Barclays Capital to overstate its advertised trading volume in thousands of instances and by 147 million shares

"I think investors should have easy access to information that details just how good of a job their brokers are doing. Thus, today’s proposal would ...

Amendments are aimed at more timelier reporting and the enhancement of the regulatory audit trails for U.S. Treasury securities