Brokerage Channel

Brokers Call for 'Naked' Exemption

Two of the biggest sponsors of unfiltered access into the country's exchanges are gearing up to fight a Securities and Exchange Commission proposal intended to kill the business.

Commentary: Shedding Light on the Dark Liquidity Debate

The current dark pool battle results from a fundamental flaw in the design of the Securities Exchange Act of 1934, which is the source of a growing conflict in market regulation.

Algo-Theft Case Against Ex-UBS Employees Dropped

A case in arbitration against three former UBS employees accused of swiping algorithmic trading code has ended in favor of the three men and against their former employer.

• More News

Barclays DMA Goes Sub-Millisecond

Direct-market access for Barclays Capital's quantitative hedge-fund and high-frequency-trading customers hit the accelerator.

Congress Readies Short-Sale Rules

Congress is likely to add at least three new short-sale rules to the Securities Exchange Act of 1934 as part of its overhaul of financial services regulation.

Cover Story: Filling the Void

Over the past two years, ETF trading has evolved. New and established players from the agency brokerage ranks have entered the ETF space to find novel and varied ways to trade less-liquid names more cheaply.

Rest in Peace

There are few things sadder than the big idea born too early. We all know the story: A flash of brilliance is followed by years of public ridicule and frustration, the unrecognized genius eventually dying alone and penniless. Years later, the big idea is dusted off and re-examined, but this time, it's embraced, and we get the satisfaction of seeing the inventor's name belatedly join the pantheon of genius to which it rightfully belonged.

Flash Is Dimming at Direct Edge

Flash trading is fading away at Direct Edge and that's a good thing, according to the ECN, which last year endured heavy criticism over its flash trading program.

FINRA Proposal Riles OTC Market

A proposal by FINRA to expand its business of collecting and disseminating quotes in over-the-counter equities by creating a "quotation consolidation facility" is under fire from OTC dealers and the largest OTC quote service.

• More Articles

Articles from this Site

• Brokers Call for 'Naked' Exemption
• Commentary: Shedding Light on the Dark Liquidity Debate
• Algo-Theft Case Against Ex-UBS Employees Dropped
• N.Y. Court and FINRA Nix Injunctions Against Former UBS Algo Group
• Don't Tax the Recovery, Says Nasdaq OMX Chief
• More Articles from this Site