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Securities and Exchange Commission
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Barring a setback, MIAX expects to have its application for options trading approved by Q3.
Sell-Side Technology | News | Exchanges | 02 May 2012
While the rules trickle in for swap execution facilities, firms are investing in connectivity and platform design in anticipation of a deeper, more liquid market. As Tim Bourgaize Murray discovers, when it comes to the nascent SEF ecosystem, the future...
Waters | Feature | Regulation & Standards | 02 May 2012
While the SEC says that it will only take about 53 man hours to complete a Form PF filing, a new whitepaper by Eze Castle Software estimates that number to be on the low end of the spectrum.
Buy-Side Technology | News | Compliance | 25 Apr 2012
Corporate actions information provider Fidelity ActionsXchange will add material events capability to its information services, building on its related events and corporate actions offerings
Inside Reference Data | News | Regulation & Standards | 27 Mar 2012
Steve Wunsch has long been a critic of the SEC. Now he's blaming them for the problems caused by high-frequency trading, and for the reactions, like a financial transaction tax, that may follow.
Buy-Side Technology | Analysis | Regulation & Standards | 02 Mar 2012
Steve Wunsch has long been a critic of the SEC. Now he's blaming them for the problems caused by high-frequency trading, and for the reactions, like a financial transaction tax, that may follow.
Sell-Side Technology | Analysis | Regulation & Standards | 01 Mar 2012
Following the creation of a whistleblower office pursuant to a provision in the Dodd-Frank Act, the US Commodity Futures Trading Commission (CFTC) has named former US Securities and Exchange Commission (SEC) assistant director Vincente Martinez as its...
Sell-Side Technology | News | Regulation & Standards | 06 Jan 2012
US equity exchanges participating in the Nasdaq/UTP (Unlisted Trading Privilege) consolidated tape plan have filed proposals with the Securities and Exchange Commission to charge monthly access fees of $1,500 and $500 for direct and indirect access, respectively,...
Inside Market Data | News | Exchange Data | 12 Dec 2011
Company filings and financial data vendor Edgar Online is providing press release and regulatory disclosures distribution provider Business Wire with access to the Xcelerate processing tool Edgar Online developed internally to convert documents and apply...
Inside Market Data | News | Content Focus | 28 Nov 2011
Direct Edge says it has improved its procedures around systems development and maintenance and taken other steps to prevent a repeat of an incident in April when a database administrator error left iit unable to process orders, modifications and cancellations,...
Inside Market Data | News | Regulation & Standards | 17 Oct 2011
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New regulations such as Basel III are changing trading and risk practices by rewarding banks that actively manage their risk exposure at an enterprise...
Supporting multiple securities identifiers imposes an operational burden that adds cost and latency to critical trading processes. Bloomberg’s recently...
