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Finra Eyes New Surveillance System

The US Financial Industry Regulatory Authority (Finra), a self-funded regulatory organization tasked with overseeing American brokers, is soliciting comment over a proposal for new method of collecting data on investment sales activities.

SFI Adds Killeen as FTE

Jocelyn Killeen has joined Simplified Financial Information-the startup usage monitoring and data capture and replay technology provider set up by industry veteran Emilio Mercado-full-time as lead business analyst, after working with the company on a…

Nasdaq Delays New Feeds Test

Nasdaq OMX has delayed the start of testing for enhanced versions of its US equity datafeeds covering its Nasdaq Stock Market, BX and PSX marketplaces until the end of January.

Esma Updates Derivatives Reporting Guidance

The European Securities and Markets Authority (Esma) has clarified its position on the reporting of derivatives, updating an online Q&A with the scope of requirements, as well as the counterparties that it expects to report transactions.

Bloomberg Names Risk and Compliance Exec

Bloomberg is making good on its promise to beef up compliance and data security measures-following the revelation earlier this year that its journalists were able to access some client terminal usage data-by hiring Paul Wood as the vendor's first chief…

Kaplan Swaps Telx for Equinix

Shawn Kaplan recently joined datacenter and hosting provider Equinix as sales director for the vendor's major accounts team covering financial services, a newly-created role leading a sales team focused on building strategic relationships with Equinix's…

2013 Review: For Exchanges in 2013, Life’s a Glitch

US stock and options exchanges suffered such significant outages in 2013 that regulators step ped in to bring the markets to task over the failures, many of which were linked to problems with the exchanges’ ability to disseminate market data.

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