Commentary

Dr. John Bates

Anyone for Tea and Sympathy with Beleaguered HFT Firms?

Guest columnist John Bates wonders if anyone feels bad for the high-frequency trading firms that are now facing lawsuits, sluggish markets and regulators.

Traders Poll

Do you expect more SEC investigations into order routing or handling?

Yes

83%

No

17%

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Regulation Channel

News

SEC Examines Wrap Trading Practices

Is trading away from a sponsor a bad thing? Can best execution be achieved given the troubling problems of sponsor rotation? The analysts at CAPIS don't think so and say with the right tools trading away is OK.

TMX to Change Equity Bourse Rules to Slow High-Speed Traders

TMX Group Ltd., the operator of Canada’s largest stock exchange, announced a plan to slow down high-frequency traders and simplify the nation’s equity markets.

SEC Rejects Non-Transparent ETFs in Active Manager Setback

The U.S. Securities and Exchange Commission rejected plans by BlackRock Inc. and Precidian Investments to open a new type of exchange-traded fund that wouldn’t disclose holdings daily.

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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