Monthly Archives: April 2014


Defining Insider Trading, Broker Records

Court Case May Help Define 'Insider Trading' A case where two hedge fund managers are appealing their conviction may help finally define "insider trading", a term which has always had an ambiguous definition. The issue is whether to be actual insider trading, trader has to realize the tip had been illegally revealed in exchange for

FINRA Backs Off, Former UBS Broker Granted Expungement

Stockbrokers Who Fail Test Have Checkered Records The WSJ recently performed a study where they combed through brokers records provided by state regulators. The study found that brokers who have to repeat the series 63 exam are more likely to have marks on their records. It also found that more failures on the test typically

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