SEC
Rob Daly: Smarter, Not Faster, Wins the OTC Race
As US regulators finally define the parameters of the Dodd-Frank Wall Street Reform and Consumer Protection Act, dealers and other market participants are racing to have their systems ready to trade on the first day of the new regulatory regime. Rob…
Extended Play: Regulators Draw Out Dodd-Frank Timeline
Peter Madigan surveys the US market's regulatory landscape, looking at areas most likely to be affected by the Dodd Frank Act when it finally comes into force during the course of 2012.
Exchanges Seek 15c3-5 Delay for Routing Broker-Dealers
Officials from Bats Global Trading, Direct Edge, Nasdaq OMX and NYSE Euronext have filed a joint letter with the US Securities and Exchange Commission (SEC) requesting that the July 14 implementation deadline for Rule 15c3-5 on sponsored access be…
Anthony Malakian: The Regulatory Air Over There
After hearing first-hand about the European regulatory environment on a recent trip to the other side of the pond, Anthony was left chanting, "USA! USA! USA!"
