There are further prohibitions upon conduct that involves false trading or market rigging.
Specifically, the memo said, four of the investigations involve personal trading in securities of companies covered by the analysts.
A similar system, involving company-to-company trading, has been proposed for the United States.
It's often a mistake to annualize quarterly results if part of it involves trading.
Probably the most significant but least predictable changes the Internet will bring to Wall Street involve trading.
A scene between two switches can involve trading off the dominant or submissive roles, possibly several times.
In an interview, he said the industry "is not rife with enforcement problems" involving personal trading.
Active fund management strategies that involve frequent trading generate higher transaction costs which diminish the fund's return.
One category of improper mutual fund activities involves late trading.
But that doesn't mean that every story will involve trading.