Research and commissions management systems gaining significant traction in US ahead of European regulation implementation
The CFTC has begun staffing up, after a long period of thinning leadership.
Ranking member of Senate subcommittee says regulator should update list of affected firms
Trading network adds banks to bring total dealer members to 24.
Regulators may be about to call the industry's bluff on Mifid II time pressures
Digital currencies are going through birth pains as an asset class, but some believe they can become the next commodity of choice for traders
US regulator makes strongest move yet toward overseeing finance’s Wild West
Bitcoin could diverge into two different versions of the same currency on August 1, creating further issues for institutional involvement.
The regulator began using machine learning after the 2008 financial crisis and is working on creating more machine-readable documents.
ICE Data Services' reference data, taxonomies and evaluated prices will be key to fund firms correctly filing N-Port forms under next year's regulation.
Exchanges that objected to IEX becoming an exchange are now planning to introduce their own IEX-style "speed bumps."
According to regulatory filings, the CAT will cost the industry $50.7 million for the fiscal year beginning November 2016.
Three exchanges have filed with the SEC regarding implementing either a delay mechanism or order types similar to what IEX operates, following its approval as a national exchange less than a year ago.
Many data management initiatives are inspired by efficiency and best practices, but only become reality after regulatory involvement.
On January 17, the self-regulatory organizations announced that Thesys Technologies had won the right to build the Consolidated Audit Trail, putting it in charge of what will be one of the biggest financial technology projects in the history of the…
Fund administrator will also use the vendor's Unity Prospectus product.
The future of some regulations are in question, Reg SCI just might be one of the casualties.
Jeffery Heslop was named the SEC's COO in 2010.
Thesys choice upsets the status quo.
Vendor selected from 31 bidders to build, implement and maintain the Consolidated Audit Trail.
The announcement of which firm will be responsible for building the massive audit trail could come as soon as tomorrow.
With chairman Massad leaving the CFTC and commissioner Giancarlo likely to have a greater say, the source-code provision may be in trouble...if not the rule as a whole.
The announcement follows MIAX's recent approval to list complex order products on its exchange.