Trading

"A concentrated group of wholesalers earns significant revenues from this market. They’re willing to pay for this order flow, but as the release notes, investors ...

"The current tick size and access fees were both adopted as part of Regulation National Market System in 2005, known as Regulation NMS.  Updates to ...

This SEC proposal would adopt variable minimum pricing increments for the quoting and trading of NMS stocks, reduce the access fee caps, and enhance the ...

Small-cap IPOs are increasingly being affected by the "ramp-and-dump" schemes

Positions resulting from stock loan activity are not considered reportable under rule 4560 as short interest by the SRO

A peer shares policies and procedures around quantitative investing

As UCB Advisers’ CCO, Garcia compliance duties related to securities, including penny stocks, and was tasked with ensuring that UCB Advisers and its IARs comply ...

BAG’s compliance manual included P&Ps requiring that trade orders include instructions for how the shares in the block trade are to be allocated. However, Brander ...

Increase in electronic trading a factor in FINRA proposing reducing the trade reporting timeframe for TRACE-eligible securities

Scheme involved placing and then, seconds before the market close, cancelling "Closing D Orders"