In an Investor Insight article, titled: "Understanding Settlement Cycles: What Does T+1 Mean for You?" FINRA advised retail customers who do not currently keep their cash and securities with their broker-dealer, to deliver assets required for settlement by the day following trade date.
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The SEC charged several individuals for perpetrating a "free-riding" scheme involving the fraudulent use of instant deposit credit extended by certain broker-dealers.
The SEC set an effective date of January 2, 2024 for new Exchange Act requirements for reporting on certain short positions in equity securities and related trading activity.
The SEC adopted a new Exchange Act Rule requiring 'institutional investment managers' to report, on new Form SHO, information as to certain short positions in equity securities and related trading activity.
The CFTC filed charges against a trading firm and its CEO for engaging in "manipulative and deceptive" trading practices in the natural gas futures and crude oil futures markets.