Trading Securities - Investment Banking Today

Takeaways for In-House Counsel from the SEC’s “Shadow Insider Trading” Trial

JD Supra: Mergers

APRIL 17, 2024

Securities and Exchange Commission (SEC) takes the position that the insider trading laws apply where an insider uses material non-public information about his or her own company to trade securities of another company, such as a competitor or peer company in the same. By: Morrison & Foerster LLP

Trading

Trading Trading Securities Corporation Securities

Coinbase’s digital finance trading head returns to State Street as automation, analytics and platform services lead

The TRADE

JUNE 8, 2023

Previously, he served as State Street’s global head of algorithmic trading, securities finance. Before joining State Street, Delikaris spent a decade at Goldman Sachs in a variety of roles including vice president, securities lending/credit-repo trading and associate, mortgage trader.

Finance

Finance Finance Trading Risk Management

FIS acquires post-trade platform Torstone Technology

The TRADE

FEBRUARY 27, 2024

Torstone is a global SaaS platform for post-trade securities and derivatives processing technology, originally built by and for a global investment bank. The fintech was founded in 2011 with originator and CEO Brian Collings still chief executive and chairman today.

Trading

Trading Capital Market Asset Management Capital

Baader Bank becomes latest trading member to join Spectrum Markets

The TRADE

JULY 23, 2024

Pan-European trading venue for securities Spectrum Markets has welcomed Baader Bank as a new trading member. Nicky Maan Baader Bank has been trading securities for over four decades, offering its partners and institutional investors access to capital markets through integrated trading platforms.

Trading

Trading Bank Banking Retail

Bank of England and FCA to launch joint Digital Securities Sandbox

The TRADE

APRIL 3, 2024

“The intention of the Bank and the FCA is that financial market participants, such as companies that use capital markets to raise finance, or participants in financial markets who trade securities, should be able to interact with the firms inside the DSS as normal while benefitting from the new technology,” the pair said in a statement.

Securities

Securities Bank Banking Financial Market

Expansion of US equity options consolidated tape go live delayed

The TRADE

OCTOBER 11, 2023

As a securities information processor, OPRA members consist of the national securities exchanges that have been approved by the SEC to provide markets for the listing and trading of exchange-traded securities options.

Equities

Equities Trading Trading Securities IT

People Moves Monday: Weekly round up

The TRADE

JUNE 12, 2023

Previously, he served as State Street’s global head of algorithmic trading, securities finance. Before joining State Street, Delikaris spent a decade at Goldman Sachs in a variety of roles including vice president, securities lending/credit-repo trading and associate, mortgage trader.

Trading

Trading Consulting Asset Management Investors

Understanding the Difference Between Hedge Funds and Private Equity

MergersCorp M&A International

AUGUST 9, 2024

These funds typically invest in publicly traded securities and derivatives, allowing for a wide range of investment tactics that can include long and short positions, derivatives trading, and leveraging. Hedge funds also focus on maximizing returns in any market condition, whether bullish or bearish.

Private Equity

Private Equity Equities Funds Investment

SPAC Trend Gives Rise to Securities Enforcement and Litigation Risks

Cooley M&A

MARCH 2, 2021

The combined company benefits from the target’s operations and the liquidity of the SPAC’s publicly traded securities. This combination is commonly referred to as the initial business combination or the de-SPAC transaction. If a deal does not materialize, the money held in trust is returned to SPAC shareholders.

Securities

Securities IPO Mergers and Acquisitions Shares

The 20 greatest trading innovations

The TRADE

OCTOBER 24, 2024

Exchange traded funds (ETFs) Exchange traded funds (ETFs) have seen a journey to dominance in the last ten years in the advent of more passive trading strategies as opposed to more active ones. ETFs offer investors a chance to buy and sell a basket of securities as if it were a single stock and transaction.

Trading

Trading Investors IT S&P

The SEC’s equities overhaul: Necessary plumbing changes or a liquidity drain?

The TRADE

AUGUST 21, 2023

“If adopted, [Regulation Best Execution] would help ensure that brokers have policies and procedures in place to uphold one of their most important obligations: to seek best execution when trading securities, whether equities, fixed income, options, crypto security tokens, or other securities,” says Gary Gensler, chair of the SEC. “I believe a best (..)

Equities

Equities Retail Trading Broker

Certificate of Deposit (CD)

Wall Street Mojo

JANUARY 18, 2024

Negotiable – Some CDs are negotiable, i.e. they can be sold in the secondary market Secondary Market A secondary market is a platform where investors can easily buy or sell securities once issued by the original issuer, be it a bank, corporation, or government entity.

Financial Institution

Financial Institution Accountant Bank Banking

Unpacking the 20 most impact financial regulations from the last 20 years

The TRADE

APRIL 30, 2024

Its impact on the financial market has been wide-ranging, altering banks’ trading strategies, market liquidity, and overall financial market structure.

Financial Institution

Financial Institution Financial Market Risk Management Bank

Investment Banking Today

Takeaways for In-House Counsel from the SEC’s “Shadow Insider Trading” Trial

Coinbase’s digital finance trading head returns to State Street as automation, analytics and platform services lead

Trending Sources

FIS acquires post-trade platform Torstone Technology

Baader Bank becomes latest trading member to join Spectrum Markets

Bank of England and FCA to launch joint Digital Securities Sandbox

Expansion of US equity options consolidated tape go live delayed

People Moves Monday: Weekly round up

Understanding the Difference Between Hedge Funds and Private Equity

SPAC Trend Gives Rise to Securities Enforcement and Litigation Risks

The 20 greatest trading innovations

The SEC’s equities overhaul: Necessary plumbing changes or a liquidity drain?

Certificate of Deposit (CD)

Unpacking the 20 most impact financial regulations from the last 20 years

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