Commentary

Jim Toes

STA's Toes Exhorts Stock Market to Learn from Auto Industry's Woes

in the wake of public outcry and government examination, STA president Jim Toes exhorts the stock market to learn from the auto industry's recent woes and follow its example of how to recover after a crisis.

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Regulation Channel

News

Barclays Seeks Dismissal of New York’s Dark Pool Lawsuit

Barclays Plc asked a judge to throw out New York Attorney General Eric Schneiderman’s lawsuit that accused the bank of lying to customers and hiding the role of high-frequency traders to boost its dark pool profile.

SEC Outsider Invoking Ghosts of 2008 Pushes White to Toughen Up

As the Securities and Exchange Commission worked overtime to finish the Volcker Rule last year, a new arrival warned her colleagues they were botching one of the key parts of the new U.S regulatory machine.

Reputational Risk RIP

Today, a $5 billion fine is the cost of doing business. How can any Wall Street firm take risk seriously?

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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