Trading

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"

It’s been a long time coming but this month brings the compliance date for the SEC’s derivatives rule. Mark Aug. 19th on your calendar

Here’s a rundown on what it entails for those registered fund advisers that invest in derivatives



B-Ds automated surveillance system produced up to 500,000 alerts for manipulative trading per year