Search for: "High Frequency Trading Systems LLC"
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9 Nov 2015, 12:04 pm
” Coscia’s defense team attempted to paint a picture of a highly sophisticated trading strategy that involved high-frequency transactions that occurred “in the blink of an eye. [read post]
19 Jan 2023, 12:49 pm
Mezrahi is co-founder and CEO and Sigrist is Vice President of Data Science at SAR LLC. [read post]
17 Jan 2012, 9:38 pm
CSC Holdings, LLC v. [read post]
30 Jun 2017, 5:30 am
The case arose before the financial crisis and concerned the then-nascent business of high-frequency trading. [read post]
31 Jan 2016, 1:43 pm
“These cases are the most recent in a series of strong SEC enforcement actions involving dark pools and other alternative trading systems,” said SEC Chair Mary Jo White. [read post]
14 Dec 2015, 5:36 am
Since 2007, Coscia served as the principal of Panther Energy Trading LLC, a high-frequency futures trading firm.According to the Indictment, in August 2011, Coscia developed and implemented a high-frequency trading strategy that allowed him to enter and cancel large-volume orders in a matter of milliseconds. [read post]
24 May 2012, 6:51 am
To put this in perspective, in 2003 high frequency trading accounted for only 5% of all trading volume while today it is well over 70%. [read post]
13 Nov 2023, 1:01 pm
This case marked the SEC’s first instance of addressing manipulation in high-frequency trading, highlighting the SEC’s dedication to pursuing market manipulators, regardless of their trading sophistication. [read post]
12 May 2017, 6:21 am
McLucas and Rachel Murphy, Wilmer Cutler Pickering Hale and Dorr LLP, on Friday, May 5, 2017 Tags: Accounting, Banks, Deregulation, Disclosure, Donald Trump, FCPA, Financial crisis, Financial institutions, Financial regulation, Insider trading, Misconduct, Savings and loans, SEC enforcement, Securities enforcement The Regulation of Trading Markets: A Survey and Evaluation Posted by Paul Mahoney, University of Virginia, and Gabriel Rauterberg, University of Michigan, on Friday,… [read post]
9 Feb 2016, 5:00 am
OCIE will focus on using data analytics to examine product promotion practices of new, complex, or high risk products and identify potential breaches. [read post]
3 Nov 2009, 1:59 am
Location: London November 4 Sponsors: Hedge Funds Care Event: 6th Annual Toronto Open Your Heart to the Children Gala Location: Toronto November 5 Sponsors: Regulatory Compliance Association Event: RCA Annual Asset Management Thought Leadership Conference Location: New York, NY November 5 Sponsors: Connecticut Hedge Fund Association Event: Global Alpha Forum Location: Greenwich, CT November 5 - November 6 Sponsors: Deal Flow Media Event: The Private Equity Secondaries Conference Location:… [read post]
29 Aug 2017, 4:08 am
Also, high schools and undergraduate schools no longer require courses in public speaking. [read post]
5 Dec 2011, 12:53 pm
Examiners from FINRA and OCIE are also likely to look closely for a system designed to catch such violations as the recommendation of unsuitable investments, unauthorized trading, churning, improper advertising and unauthorized business activities. [read post]
1 Oct 2010, 12:07 pm
This sell pressure was initially absorbed by: andbull; high frequency traders (andquot;HFTsandquot;) and other intermediaries8 in the futures market; andbull; fundamental buyers in the futures market; and andbull; cross-market arbitrageurs9 who transferred this sell pressure to the equities markets by opportunistically buying E-Mini contracts and simultaneously selling products like SPY, or selling individual equities in the Sandamp;P 500 Index. 8 See Section 1 for the… [read post]
2 Apr 2018, 4:03 pm
With cyber-incidents capturing headlines around the world with increasing frequency, businesses and regulators have come to recognize that cyber-incidents are not a passing trend, but rather in our digitally connected economy, an embedded risk that is here to stay. [read post]
4 Aug 2014, 4:13 am
The Latest Scandal-Driven Litigation Against Financial Services Companies: Let’s see … after the financial crisis, we had the Libor scandal, the foreign exchange trading scandal, the high frequency trading scandal and the dark pool trading scandal. [read post]
14 Apr 2023, 11:27 am
This means that a broker cannot recommend a high frequency of trades if it is not appropriate for the customer’s investment goals. [read post]
28 Jul 2023, 1:02 pm
This can be done through spreading false information, engaging in high-frequency trading, or using other tactics to manipulate the true state of the market. [read post]
20 Jul 2023, 10:45 am
From April 2014 through July 2017, Sagepoint allegedly failed to establish, maintain, and enforce a supervisory system for margin trading. [read post]
1 Oct 2009, 5:48 pm
The company also failed to conduct inspections at the required frequency Click Here Connecticut Holding Company Faces Fines for PCB Violations. [read post]
