Regulation

As the stock and other financial markets evolve, check out the latest rules from the SEC, Finra, FSA, IIROC and other regulators that affect trading.

Latest

NYSE’s OTS Passing Into History

NYSE’s OTS Passing Into History

February 4, 2011

NYSE Vents Over Offboard Trading

NYSE Vents Over Offboard Trading

February 1, 2011

Clearing Brokers Face Uncertainty

February 1, 2011

Market Structure Calls

February 1, 2011

Investment Company Institutes’ Ari Burstein Discusses …

February 1, 2011

Buyside Gets Better Trade Info Via FIX

January 18, 2011

Clearing Brokers Face Uncertainty

January 13, 2011

Commentary: Swaps Reporting is a Flawed Response to a Pressing Need

January 10, 2011

Happy New Year

January 3, 2011

Licensed to Fill

January 3, 2011