Tag: Trading
IAA, Others Urge SEC to Reconsider New Rule’s Impact on Fixed Income Markets
The IAA is expressing concerns about the potential application of a recently amended broker-dealer rule on the fixed income securities markets.
October 12, 2021
Tags: Trading
SEC Sues Adviser for Violation of Principal Trading Rules
The SEC has settled an enforcement action with a dually-registered investment adviser and broker-dealer for effecting over 200 fixed-income transactions on a riskless principal basis with advisory clients, without disclosing to the clients in writing before the completion of each transaction the capacity in which it was acting and obtaining transaction-by-transaction client consent.
September 22, 2021
Tags: Compliance Policies, Trading
Industry Updates SEC on Move to Shorten Settlement Cycle
The ICI, SIFMA, and DTCC have sent a letter to SEC Chair Gary Gensler to provide an update on the industry’s progress on T+1.
August 23, 2021
Tags: Trading
SEC Charges Trader with Front Running Employer’s Client Accounts
The SEC has filed a complaint in New York federal district court charging a trader at a Canada-based asset management and hedge fund adviser with engaging in a fraudulent front-running scheme involving several retail client accounts.
July 07, 2021
Tags: SEC Enforcement, Trading
Equity Market Structure Review High on SEC Chair’s Agenda
SEC Chair Gary Gensler announced in a June 9 speech that he has directed the SEC staff to provide recommendations to update outdated rules governing the equity markets to more fully reflect today’s technology.
June 15, 2021
Tags: Commissions, Gary Gensler, Market Structure, Trading
SEC Approves Registration of First Security-Based Swap Data Repository
The SEC recently announced that it approved the registration of its first security-based swap data repository (SDR), the DTCC Data Repository (U.S.), LLC (DDR).
May 18, 2021
IAA Responds to SEC Staff Request for Comment on Investment Company Cross Trading Rule 17a-7
The IAA has submitted comments to the SEC recommending amendments to modernize the Cross Trading Rule in response to the Division of Investment Management’s staff statement on March 22.
April 13, 2021
Tags: Mutual Funds, Trading
SEC Suspends Trading in Multiple Issuers Based on Social Media and Trading Activity
The SEC recently suspended trading in the securities of 15 companies because of what the SEC called “questionable trading” and apparent “social media attempts” to artificially inflate their stock price.
March 10, 2021
Tags: Securities, Trading
Examining Best Execution and Trading in the Current Landscape
Advisers should be prepared for more scrutiny by clients and regulators on this issue.
February 10, 2021
Tags: Best Execution, Columns, Guest Column, Trading
OFAC Issues FAQs, List Related to Exec Order on Chinese Military Companies
OFAC has issued several FAQs related to an executive order that prohibits U.S. investors from investing in publicly traded securities of, securities that are derivative of, or are designed to provide investment exposure to “Communist Chinese military companies."
January 05, 2021
Tags: ETFs, Mutual Funds, Securities, Trading, Treasury Department
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