Trading

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

FINRA charges the firm sent its customers 270 million inaccurate trade confirms dating back from November 2008 through the present

When Victoria Hogan served as an SEC examiner, she often discovered deficiencies simply when interviewing a firm’s traders. That’s why she advises compliance officers do ...

NSC was charged with attempting to artificially influence the aftermarket in 10 offerings for which it served as underwriter

A peer passes on the firm's P&Ps for allocating fixed income trades

System changes triggered a programming defect in BIDS trade advertising software

B-D implemented trading halts on meme stocks only to tout to the public that it refused to do so