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Trading

U.S. Agencies Seek Tougher Rules, Internal Probes on Stock Trading by Federal Officials – WSJ

By Securities Docket on February 9, 2023, 9:17 am

Separately, the SEC last week proposed new ethics restrictions, including banning employees from investing in financial industry sector funds. The SEC already bars employees from owning or trading stocks that are under investigation by the agency, regardless of whether the employee is working on the matter. The SEC’s ethics rules are stricter than those at […]

Posted in SEC, Top | Tagged Trading

Crypto Trading Volume Tumbled in June to the Lowest Since 2020 – Bloomberg

By Securities Docket on July 15, 2022, 8:09 am

Cryptocurrency trading volumes have plummeted amid a dreadful first half of the year for the industry. Spot and derivatives volumes have declined across exchanges, falling more than 15% since May to around $4.2 trillion and reaching the lowest since January of last year. The month of June alone saw spot volumes drop nearly 28% to […]

Posted in Industry, Top | Tagged Cryptocurrency, Trading

Stock Trades of SEC Employees — HLS Forum on Corp. Gov.

By Securities Docket on November 20, 2017, 10:46 am

These results are indicative of SEC employees being either: (i) skilled investors, (ii) lucky investors, or (iii) privately informed. We cannot confirm that our results are driven by trades on non-public information. While we do observe some unusual trading patterns around certain SEC activity (e.g., trading prior to enforcement actions and after whistleblower tips), several […]

Posted in SEC, Top | Tagged Research, Trading

Catherine McGuire to Retire After More Than 40 Years at the SEC

By Securities Docket on September 20, 2017, 7:55 am

The Securities and Exchange Commission today announced that Catherine McGuire, Counsel in the Division of Trading and Markets, is retiring after 44 years at the SEC. via Catherine McGuire to Retire After More Than 40 Years at the SEC

Posted in People, SEC, Top | Tagged Regulators, Trading

Securities Suit Filed Against JP Morgan Chase Over Massive Trading Losses

Securities Suit Filed Against JP Morgan Chase Over Massive Trading Losses

By Securities Docket on May 16, 2012, 12:53 pm

Shareholders file suit in wake of JP Morgan’s $2 billion trading loss.

Posted in Class Actions, Top | Tagged Trading

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