Brokers Cry SOS on Rule 606

While the industry has been granted a delay for SEC Rule 606, more guidance is necessary to move forward.

The SEC’s revised requirements around order-routing transparency pose a series of challenges for brokers—the greatest of which may be collaborating to track orders through the maze of brokers and execution venues prior to execution, without specific guidance or mandates from the regulator.

The financial services industry gets more nervous about compliance deadlines for new regulations than a chef preparing a meal for an influential food critic who’s just had root canal. Right now, it’s the

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Waters Wrap: The tough climb for startups

Anthony speaks with two seasoned technologists to better understand why startups have such a tough time getting banks and asset managers to sign on the dotted line.

FCA declines to directly regulate market data prices

A year-long investigation by the UK regulator to determine whether competition is hindered in the wholesale data markets has concluded with its decision not to directly regulate much-maligned data pricing and licensing structures.

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