Commentary

Victor Yodaiken

NYSE Halt Shows the Industry Needs a New Approach to Time

The SIP regulation which went into effect on July 11 further draws more attention to the centrality of time synchronization for data integrity in financial markets.

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News

New York AG Has Credit Suisse In His Sights

Crossfinder dark pool is in the New York Attorney General's crosshairs. But why?

Clock Is Ticking for Decision on Landmark Insider-Trading Ruling

Time is running out for the U.S. to ask the Supreme Court to review a ruling that could lay the framework for how insider trading will be prosecuted for years to come.

Goldman Fined $1.8 Million by Finra Over Inaccurate Trading Data

Goldman Sachs Group Inc agreed to pay $1.8 million to resolve Financial Industry Regulatory Authority claims that one of its units submitted inaccurate trading information over a period of eight years.

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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