Firms are discovering there is a strong business need for accurate real-time positional data across their organizations. Sapient's Duncan Cooper says access to such data would maximize investment opportunities and ensure that a firm can be fully invested. For some, an Investment Book of Records (IBOR) addresses that need.
Should ATS' be required to publicly disclosure certain information, such as order routing, order types, venue selection methodology, etc.
Securities executives are trying to determine if the 12-year-old decision to narrow the price increments for American stock trading has harmed investors, according to two people with knowledge of the matter.
At least three U.S. regulators will meet on Dec. 10 to adopt the final version of the Volcker rule banning banks from making speculative bets with their own money, according to three people familiar with the planning.
Investment brokers advising retail customers would face a standard requiring them to recommend products in the best interest of clients under a proposal from a U.S. Securities and Exchange Commission advisory panel.
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.
Following recent comments by Securities and Exchange Commission Chair Mary Jo White about a pilot program allowing larger trading increments for smaller stocks, one of the industry's largest market-making firms is promoting a tick-size plan of its own.
The Financial Industry Regulatory Authority officially announced new disclosure rules for dark pools and industry executives are OK with them so far.
As regulators consider equity market structure, a few changes in tick size or taxation could spell trouble for investors.
In a departure from itstraditional sellside/buyside research focus, Greenwich Associates is ramping up a new market structure and technology advisory service and hiring market structure veteran Kevin McPartland as principal to lead the effor
The Financial Industry Regulatory Authority is likely to publish a draft of a rule proposal requiring dark pools and internalizers to report their trading volume later this month or in November.
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