Sentence examples for trading allocation from inspiring English sources

The guidelines suggested by the committee address all aspects of the offering process: pricing, aftermarket trading, allocation and the marketing of deals through road shows.

Nevertheless, there are many SEC cases against investment advisers involving cherry picking or favorable trade allocation.

Collecting loans for lengthy periods also allows for opportunistic trade allocation, Mr. McCann said.

For years, the SEC has warned investment advisers about practices that could give rise to suspicions of improper trade allocation.

However, as with most statistically based enforcement efforts, the trade allocation initiative comes with risks and limitations.

In a 1995 pronouncement, the SEC's Division of Investment Management did not object to post-execution trade allocation by an investment advisor who provided advice to a number of different types of investors, all of whom benefitted by aggregating their orders to obtain the best possible execution price and lower commissions.

However, not all post-execution trade allocations are improper.

The SEC has better tools than it had in the past to detect problematic trade allocations.

What processes does the adviser have in place to ensure that trade allocations are fair?

Another conflict of interest that merits its own treatment is trade allocations.

Takeaway: Trade allocations and allocations of limited investment opportunities that favor an adviser over a client or one client over another are potentially problematic.