Re: Minimum Compliance Procedures for Trading Supervision

Welcome To the WIN!!! St. Elias Mines HUB On AGORACOM

Keep in mind, the opinions on this site are for the most part speculation and are not necessarily the opinions of the company WITHOUT PREJUDICE

Reply New Message

Prev Message Back To Forum Threaded View Next Message

sculpin

Rank: President [?]

Points: 56650 [?]

Votes: 339 Score: 3.4 [?]

Your Vote:

Please Log In to Vote

Did you know? You can earn activity points by filling your profile with information about yourself (what city you live in, your favorite team, blogs etc.)

Re: Minimum Compliance Procedures for Trading Supervision

in response to

Minimum Compliance Procedures for Trading Supervision

sculpin

posted on Sep 16, 2013 01:52AM

As you can see in this post I am responding to, there has to be by law, all trading records kept. Its so easy to match the traders to the stock that was sold between Oct 2011 and Jan 10 th 2012. Then also compare the sellers to the next time frame, Jan 2012 -july 2012. Match up you shorting records and any buy-ins, if appliacble. Match up your shorts from the Reg Sho lists, see if there is any connection. Then go back and see if any company news came out around any positioning that may occured. Check the SELSF for a ~500,000 share transaction done one day many months ago, get the DTCC to match any trades and see if there is an off shore component that got funneled through...