Commentary

Rob Daly

Industry Questions Reg SCI's Effectiveness After SEC Vote

Investment market participants still doubt that the new system risk rule will have any impact in a complex and far-reaching global market structure.

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Regulation Channel

News

Stock Exchange Rules Get SEC Upgrade Aimed at Fewer Failures

U.S. regulators required stock exchanges to show they can prevent technology disruptions under new rules intended to limit the frequency of malfunctions that have undermined investor confidence.

Wedbush Admits It Broke Rules by Not Supervising Clients' Trades

Wedbush Securities Inc. agreed to pay $2.44 million to settle U.S. regulatory claims that it failed to vet clients who broke stock market rules.

Regulation SCI's Hidden Costs May Cause Sticker Shock

How much are institutional investors willing to pay for improved market resiliency and fewer IT crashes? They're about to find out and they may want to be sitting down when they ask for estimates.

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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