Commission recapture and other securities trading were also priced uncompetitively by custodians and executions compromised.
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Algorithms certainly handle millions of bits of data per second every day during securities trading.
Arbitrary restrictions would be placed on the amount of securities trading they could do.
The states, which had previously regulated securities trading, retain the right to do so.
The list of movies having to do with securities trading includes Wall Street, Trading Places and Boiler Room.
Others have diversified out of boring retail banking into the more glamorous wholesale markets (securities trading and the like).
Overseeing an investment program requires expertise in negotiating advisory fees as well as reviewing securities trading and custody arrangements.
The deal would make Russia one of the top securities trading markets.
With respect to securities trading, generally neither pensions, consultants nor fund of fund managers are aware of the brokerage practices of the underlying managers.
Brokerage firms often are in the midst of wrongdoing because they serve as the lynch-pin between pensions, money managers, pension consultants and securities trading.
Whether or not Milken had broken the rules of securities trading was far less important than how he had broken the patterns of capital formation.
For example, the "Big Bang" financial deregulations include liberalizing foreign-exchange transactions, lowering securities trading costs and opening securities underwriting and investment-trust management to new players.
But Singapore brokerages are reeling not just from the arrival of the big global guys, but also from online securities trading and falling local fees.
Affin's subsidiaries include the recently acquired Antara Discount securities trading firm.
At Charles Schwab, an American retail brokerage firm, it took just three years for online dealing to account for more than half of all its securities trading.
Many other breaches of duty, such as related to securities trading and money managers (which GAO did not examine) I have found in my investigations to also be harmful to pensions.
Many other breaches of duty, such as those related to securities trading, money managers, and custodians (which the GAO did not examine), have been found to also be harmful to pensions.
Watching his colleagues leave, Lavender has become an even louder and more passionate defender of the chaotic open outcry system that defined securities trading around the world for most of the past two centuries.
Since there is no agreed-upon legal definition of best execution and probably never will be due to the rapidity with which securities trading is evolving, it is obviously impossible to evaluate trading practices for compliance with the standard.
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That data shows that for the past five quarters 18 major banks, including Goldman Sachs, Morgan Stanley, Bank of America, and Citigroup understated the debt levels they used to fund their securities trading in each of those quarters, and by an average of a whopping 42%.
Nester said the SEC has taken additional steps to enhance protections against "the potential for improper conduct, " including developing a new computer system to facilitate reporting and review of securities trading by all SEC personnel, hiring a chief compliance officer and providing greater clarity of rules governing the reporting of trades.
But the specifics of Glass-Steagall, which were created in 1934, underwriting securities and trading in securities are no longer in the current financial system the things that pose the greatest risk.
Citigroup's Wall Street group contributed to the miss, with its securities and trading unit falling 6% from the third quarter.
In that regard, the new advisory committee will consult with the SEC on issues such as (i) capital raising through private placements and public securities offerings, (ii) trading in the securities of small and emerging companies, and (iii) public reporting requirements of such companies.
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We forecast the Yield on Fixed-Income Trading Securities to stay around the 6% mark during our forecast period.
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If you're trading securities, you're constantly reevaluating individual credits and the credit markets.
Michael Petrick -- who heads the company's corporate credit group -- will become co-head of institutional securities sales and trading.
But you did sell securities from the trading desk even on deals where you could no longer give them your full attention?
Its algorithmic systems are trading securities in 32 nations, from Europe to South Africa and Asia, while also making huge inroads into the execution of transactions in options, currencies and futures.
SAC's success also has helped attract the scrutiny of prosecutors and the Federal Bureau of Investigation, which are examining whether SAC follows securities laws prohibiting trading on material nonpublic information, according to people familiar with the investigation.
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