The idea of self-regulation makes for a good soundbite, but the practicality of the matter leaves much to be desired.
When the Consolidated Audit Trail failed to go live in November last year, questions came as to why—but answers were not easy to come by.
Finra says Citi's inaccurate ratings led to numerous porblems for portfolio manager clients and retail investors.
Market Data Protection Act will increase security requirements for market data held by the SEC and FINRA, lawmakers say.
Artificial intelligence is gaining traction among regulators, exchanges and financial firms sifting through massive amounts of data to spot potential pricing manipulation. Kirsten Hyde asks whether the industry is ready to go all in on AI.
To handle the massive increases in data volumes expected from Mifid II regulation and the US Consolidated Audit Trail, regulators are examining their own data governance and technology use, report Joanne Faulkner and Kirsten Hyde.
The platform, Deals, offers a marketplace environment for lenders to look for investors.
AWS migrations have expanded data access and saved money, executives say
Fixed income expansion aimed at addressing new best execution requirements under European rules
Shutting down Oats may take two years and depend on CAT data accuracy.
According to regulatory filings, the CAT will cost the industry $50.7 million for the fiscal year beginning November 2016.
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…
Application aims to enhance market intelligence in bond trading through customizable view of Trace data feeds on a single screen.
Agency-only brokerage taps Ancoa for hosted platform in response to increasing regulatory demand for market surveillance tools.
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.
Requiring SROs to report data to obsolete platforms is counterintuitive to the entire industry.
The regulator modified several points of the NMS plan prior to approval.
Is artificial intelligence the key to properly surveilling the markets?
The SEC's project to better understand the impact of changing the tick size for securities of small-cap companies kicks off today.
S3's Regulatory Reporting Suite already covers SEC Rules 605 and 611, and the current iteration of Rule 606; while the Finra Pilot Program goes into effect on Oct. 3.
Appointment of new regional heads aimed at growing presence in Russian, European, American and Asian markets.
Finra Fines Deutsche Bank Securities $12.5 Million for Significant Supervisory Failures Around Research, Trading-Related Information
German bank subsidiary repeatedly ignored red flags and internal warnings from firm's compliance department around its supervision of internal communication.