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9 Nov 2023, 6:30 am
This month we examine: A string of settled charges for alleged violations of the Whistleblower Protection Rule; Charges against an electronic trading firm and its broker-dealer subsidiary for allegedly making false and misleading disclosures regarding protecting customer trading data and preventing trader access to material non-public information (“MNPI”); Settled charges against a registered investment adviser for alleged misstatements regarding the integration of… [read post]
25 May 2019, 7:29 am
For example, they can condition on the identity of the trader and are aware of the order flow before it hits the market. [read post]
17 Sep 2021, 8:45 pm
Exemptions to the process include Introducer AR notifications, Changes to ARs and Sole Trader notifications. [read post]
14 Jan 2022, 10:08 am
The truth is that any monetary-policy intervention must be mediated through the financial system, a complex organism made up of millions of individual bankers, pension savers, fund managers, private-equity investors, day traders and others, all with their own incentives. [read post]
9 Aug 2010, 1:07 pm
Wall Street’s tumultuous 1980s, as witnessed by a young bond trader. 6. [read post]
7 Feb 2011, 12:29 pm
Wall Street’s tumultuous 1980s, as witnessed by a young bond trader. 9. [read post]
2 Feb 2012, 7:34 am
Traders, analysts and executives hop on to discuss trades, news and rumors that might move the market. [read post]
8 Jul 2010, 2:13 am
Merpel says, let's not forget that other traders have an interest in the V-word too: see, for example, here, here and here.Vuvuzelas and health here and hereYou say potato, I say tomato, hereThank you, Jim Davies, for the link. [read post]
30 Jan 2018, 7:46 am
Sources: Staff Letter: Engaging on Fund Innovation and Cryptocurrency-related Holdings SEC cools traders’ hot plans for cryptocurrency-based exchange traded funds Price Manipulation in the Bitcoin Ecosystem by NeilGandal, JT Hamrick, Tyler Moore, Tali Oberman Pump and Dump Cryptocurrency [read post]
4 Sep 2019, 10:45 am
There is speculation that traders may have been overcharged by their broker-dealers for shorting Beyond Meat. [read post]
11 Mar 2009, 7:45 am
The state and city of Monroe are jointly acquiring property along Ohio 63 for the widening project from Trader's World east of I-75 to Union Road on west side of I-75. [read post]
10 Jul 2024, 6:31 am
President Xi Jinping is (in)famous in the West for demanding “that businesses conform to the aims of the Communist Party”.[1] The newly appointed boss of the China Securities Regulatory Commission (CSRC) – China’s equivalent to the US Securities and Exchange Commission (SEC) – has earned the sobriquet “Broker Butcher” for his alleged zealous crackdown on traders in the 2000s. [read post]
10 Jul 2024, 6:31 am
President Xi Jinping is (in)famous in the West for demanding “that businesses conform to the aims of the Communist Party”.[1] The newly appointed boss of the China Securities Regulatory Commission (CSRC) – China’s equivalent to the US Securities and Exchange Commission (SEC) – has earned the sobriquet “Broker Butcher” for his alleged zealous crackdown on traders in the 2000s. [read post]
21 May 2010, 2:47 pm
In California, our products are sold at Kings Super Market, Numero Uno Stores, Cárdenas Markets, Trader Joe's Stores, Gonzalez Northgate Markets, Wal-Mart stores, Jons Markets, and Canton Foods. [read post]
28 Apr 2009, 4:28 pm
Download the memo in all its recession-humor glory here: Cleary Summer Associate Memo courtesy of Above The Law While reading the memo, look out for the usual SA booze cruise, but on the (free) Staten Island ferry; a wine-and-cheese tasting replaced by an evening visiting Trader Joe's for their free samples; and an encouragement to treat clients at Au Bon Pain... especially between 4 and 6 p.m. during their 50% off Bake Sale. [read post]
19 Dec 2018, 6:01 am
First Derivative Traders, 564 U.S. 135 (2011). [read post]
16 Apr 2022, 5:00 am
“The findings shatter the notion that the reality of slavery was something that occurred far beyond the horizon of eighteenth-century investors and traders,” the report concluded. [read post]
15 Nov 2021, 12:15 pm
Traders and businesses are facing similar problems associated with the decline of the Afghani and insufficiency of foreign exchange reserves in international transactions, which in turn is contributing to inflation. [read post]
24 Sep 2008, 2:43 am
Maybe next trucking companies will start recruiting newly unemployed Wall Street investment bankers and bond traders who will be unable to land find new jobs in finance. [read post]
7 Mar 2011, 5:31 am
So “[n]ineteen traders in Mr. [read post]
