Hints and tips:
...On Friday the US Securities and Exchange Commission charged Morgan Stanley and its former equity syndicate desk head Pawan Passi with fraud in the conduct of block trading business....
...New documents posted this week with the Securities and Exchange Commission in the US shed some light over how the deal eventually got done, and why it took so long....
...Crypto tokens are not securities any more than baseball cards or sports bets are. Prosecute fraud, maybe regulate crypto exchanges like casinos, and keep the SEC et al out of it....
...Similarly, Securities and Exchange Commission chair Gary Gensler has said that the basic US laws governing securities, exchanges, brokers, funds and advisers, passed in the middle of the past century, should...
...for zero-commission trading....
...There is for sure a debate to be had about when the Federal Reserve et al should have pivoted their stance more forcefully to tackle inflationary pressures, and what they should and shouldn’t do now....
...Your article “Lax rules allow corporate fat cats to dump stock” (Opinion, December 23) referred to a study by David Larcker et al explaining how the US Securities and Exchange Commission created a special...
...The US Securities and Exchange Commission is seeking to compel hedge funds and private equity groups to disclose quarterly performance and fees charged to investors, as the agency pushes back against activities...
...The Securities and Exchange Commission is plotting a crackdown after fining BNY Mellon’s investment adviser division $1.5mn for allegedly misstating and omitting information about ESG investment considerations...
...This was disproved by the trial of US v Zarrab et al, in which a Turkish banker and a gold trader were convicted of laundering Iranian oil and gas revenues....
...And the margins are good, much better than on boring old commissions....
...Exchanges, business groups and the leadership of the Securities and Exchange Commission have decried the trend and are seeking ways to encourage listings....
...After the issue became clear on Monday, the exchange suspended trading on all securities at about 4:13pm ET and cancelled all open orders....
...Leon Cooperman, chief executive of Omega Advisors, who is facing civil insider trading charges from the Securities and Exchange Commission, has told investors that prosecutors were waiting for the Salman...
...In a civil suit last month, the Securities and Exchange Commission accused the Omega Advisors chief executive of insider trading....
...He argued that the appeals court’s “unprecedented ruling” clashed with the Supreme Court’s definition of insider trading established in a 1983 case, Dirks v the Securities and Exchange Commission....
...The proposal is being sent to the Securities and Exchange Commission (SEC) for approval, although exchanges are not mandated to offer trading in every stock. The reasoning seems sound....
...For a company like Rural that is traded on a major exchange, ―[t]urnover measured by average weekly trading of . . . 1% would justify a substantial presumption‖ of market efficiency. 5 Bromberg et al., Bromberg...
...Mr Cohen, meanwhile, has not been charged with any criminal wrongdoing but remains the subject of a Securities and Exchange Commission civil suit; it accuses him of failing to do enough to prevent the insider...
...nip the heels of Knight, Virtu, Getco et al....
...So it’s not surprising that the first response from Buchheit et al is to answer back with bits of the bond contract that suggest sneaky loopholes instead....
...Since Magyar Telekom is listed on the New York Stock Exchange, the company informed both the Stock Exchange Commission (SEC) and the US Department of Justice (DOJ) of the situation, which launched their...
...The national registry is a sort of back office, where all the country’s state and commercial ETS allowances are held and trades are logged....
...Related links: SEC V. TREVOR G. COOK, PATRICK J. KILEY, ET AL, Case No. 09 CV 3333 – SEC Litigation release...
...Securities and Exchange Commission lawyer FT Alphaville will provide updates as more details of the arrests and charges emerge....
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