Financial industry Regulatory Authority (Finra)
FTEN Adds Real-Time Options Analytics to Risk Platform
RX platform enables risk managers to leverage volatilities data and view exposures in real-time, complying with SEC and Finra regulation.
Finra Fines Sell-Side Firms for Lacking 'Adequate Supervisory Systems'
Self-regulatory body says Citi, Morgan Stanley, UBS, and Wells Fargo did not have sufficient knowledge of leveraged and inverse ETFs they were selling.
MarketAxess Launches REXIQ for TCA
New software provides enhanced transaction cost analysis in fixed income markets.
Fidelity ActionsXchange Adds Material Events
Strapline: Corporate Actions
FINRA Recognizes Bloomberg Open Symbology
Free-to-use framework given green light by US regulator.
An Algorithm in Every Household
What will happen if algorithmic trading technology inevitably trickles down to the retail investor? We consider the possibilities for industry operations and regulation
Identification Proliferation
New order audit trail specifications are expected to generate increased volume of codes for processing, including more rejected code issues for firms to address. Michael Shashoua lays out the scope of the new rules and how firms are viewing the…
Teradata Integrating Aster Data Capabilities
Strapline: Data Management
