Commentary

David Weisberger

50 Shades of Compliance

RegOne's David Weisberger talks about the current conflict of interest in the current equity market structure where the exchanges can act as their own regulators.

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Do you think there will be a significant reduction in order types given the increased market scrutiny by regulators and others?



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News

Obama to Lead Push to Toughen Broker Rules for Retirement Funds

The Obama administration is picking a fight with Wall Street over the handling of Americans’ $11 trillion of retirement savings, accusing brokers of skimming significant sums annually from small investors and urging new protections against biased financial advice.

SEC Official Calls White House Memo on Broker Rules ‘Propaganda’

An Obama Administration official’s call for tough rules on brokers is “propaganda” that ignores stiff oversight of the industry by market regulators, a Securities and Exchange Commission member said Friday.

SEC Considering Less-Regulated Stock Markets for Small Companies

The U.S. Securities and Exchange Commission is reviewing whether to allow stock exchanges to start less- regulated markets that will make it easier for small companies to raise money, the agency’s chairman said.

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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