Former regulators are joining the lobbying firms that once monitored the market.
After sparring in the court of public opinion about whether or not Wedbush Securities failed to comply with market rules regarding access, it looks like the matter will be settled quietly.
Did the Founding Fathers imagine a world where former politicians and regulators would cross the aisle to work for the same firms they once managed and regulated? Contributor Tim Quast takes a look at the recent hiring of Eric Cantor.
Eight people were indicted on charges of defrauding thousands of investors in penny stocks through a $290 million pump-and-dump scheme, Manhattan District Attorney Cyrus Vance Jr. said.
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.
FINRA's use of broker data to protect investors is under attack: Are they protecting investors or covering for bad brokers?
More change is coming to the equity trading markets of the Great White North.
It's all but official now - BATS Global Markets and Direct Edge Holdings will become a unified company.
Institutional investors welcome the equities market regulator's probe on broker-dealer order routing methodology.
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.