Commentary

Tom Doris

Managing the HFT Flood

Buyside firms need to leverage technology to stop writing checks to HFT firms with clients's money.

Traders Poll

The SEC has approved a test plan allowing the quoting of small-cap stocks in increments larger than one tick. Do you think the pilot program will be successful in boosting the trading of small-cap stocks?



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Regulation Channel

News

Hens Inside the Fox Den: HFT Lobby 101

Former regulators are joining the lobbying firms that once monitored the market.

SEC Shelves Plan for Disclosures on Private Asset-Backed Bonds

The U.S. Securities and Exchange Commission, while expanding disclosure requirements for one set of asset-backed securities, has stepped back from a plan to shed more light on a major part of the market.

Foreign Trades Find a New Home

In an OTC market striving for transparency, trading flourishes in foreign shares.

Articles

Demystifying Dodd-Frank

Commissioner Scott O'Malia of the Commodity Futures Trading Commission (CFTC) is on a mission. He says the process of writing new over-the-counter derivative contract rules needs more transparency. Over the past year he has repeatedly called for more roundtables and public comment on how rules are written. Why is this important? Because these rules, among other things, will determine which OTC derivative contracts must go through a clearing process and which ones can continue to use the old bilateral, dealer-to-dealer model.

In the CARDS

FINRA's use of broker data to protect investors is under attack: Are they protecting investors or covering for bad brokers?

Structural Changes in Canada

More change is coming to the equity trading markets of the Great White North.

SEC Approves BATS Merger

It's all but official now - BATS Global Markets and Direct Edge Holdings will become a unified company.

Buyside Welcomes FINRA Query

Institutional investors welcome the equities market regulator's probe on broker-dealer order routing methodology.

Beware of New Rules

Understanding the likely form of new rules-like Regulation SCI - is essential for traders and investment firms so they can prepare for their inevitable implementation.

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