Electronic trading – Advisor's Edge

SEC, CFTC hit delete on firms’ WhatsApp, texting

allan — Fri, 29 Sep 2023 16:04:48 +0000

Another 10 firms sanctioned for extensive recordkeeping violations

michelleschriver — Fri, 08 Sep 2023 17:24:23 +0000

Wedbush Securities fined for compliance failings

allan — Thu, 03 Aug 2023 21:05:23 +0000

Pair of new trading books, order types to launch Oct. 23

gregmeckback — Tue, 28 Mar 2023 22:03:58 +0000

Exchange proposes new client ID requirements

gregmeckback — Fri, 11 Nov 2022 19:00:00 +0000

Bourse aims to reintroduce order type that hasn't been used since 2001

michelleschriver — Thu, 07 Apr 2022 15:43:58 +0000

The investment dealer failed to identify and review suspicious trader activity

gregdalgetty — Mon, 27 Jan 2020 17:05:15 +0000

The deal highlights BMO’s “commitment to significant fintech initiatives”

gregdalgetty — Wed, 22 Jan 2020 15:50:46 +0000

Clearpool Group Inc. has more than 100 clients, most of whom are U.S. broker dealers

gregdalgetty — Tue, 28 May 2019 15:34:09 +0000

Omega Securities and 4C Clearing Corp. aim to bring crypto trading to retail investors

gregdalgetty — Fri, 22 Mar 2019 16:43:34 +0000

The index will track 100 digital assets