Arjun Thirukonda
Enhancing Short Sale Disclosures: SEC Rule 13f-2 and Form SHO Reporting
The Securities and Exchange Commission (SEC) recently adopted a new Rule 13f-2, as well as an amendment to the NMS Plan which governs the...
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Latest Articles and Case studies
Natarajan Venkatasubramaniam
- Jan 25
- 6 min
Firms Grapple with Regulatory Fatigue: CFTC's Approval of Proposed Amendments to Part 43 and Part 45 Requirements Compound Existing Regulatory Burden
In the current landscape, nearly every financial institution is directing its attention toward a triad of critical activities:
Lee Corcoran
- Jan 18
- 3 min
Trade Surveillance, Where are we heading?
The growing difficulty in detecting ever more complex illicit trading behaviors continues to increase.
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