Topics: Regulatory

  • Fixing the U.S. Equity Markets: Limit Exchange/ATS Licenses and Other StepsSeptember 21, 2012In his Senate Hearing testimony on Thursday, Larry Tabb, founder and CEO of Tabb Group, advised the SEC and Congress to stop granting exchange and ATS licenses, among other remedies.
  • Newedge Gains Approval from CME to Clear OTC Interest Rate SwapsSeptember 04, 2012The move positions Newedge to offer central counterparty clearing services in the $441 trillion OTC interest rate swaps market.
  • Does Speed Trading Need Safety Lanes?August 07, 2012After Knight Capital's rescue, there are still concerns about risk controls. A professor from Columbia University told CNBC that regulators need to put in speed bumps so that markets continue to function when the next upheaval occurs.
  • Futures Industry Debates Solution to Protect Customer Segregated AccountsJuly 30, 2012A CFTC panel agreed on the urgency of developing a technological solution for verification of funds in customer segregated accounts, but one industry veteran, warned not to wait until everything is perfect.
  • Managing the Bottom Line Means Managing DataJuly 13, 2012Real-time reporting and risk management requirements are driving reference data improvements, says Paul Rowady, Tabb Group.
  • Facebook IPO Leads SEC to Scrutinize Nasdaq's SystemsJune 29, 2012The watchdog is investigating Nasdaq's computer systems and processes related to the flawed Facebook IPO on May 18. Will the regulator demand system upgrades?
  • Peter Madoff's Guilty Plea Points to Perils of Being a Chief Compliance OfficerJune 28, 2012Though he claimed to have no knowledge of his brother Bernard's multi-billion dollar Ponzi scheme, Peter Madoff has agreed to forfeit $143 billion and serve 10 years in prison.
  • Alliance Bernstein Began Clearing Swaps Ahead of MandateJune 14, 2012The buy-side firm is actively clearing interest rate swaps through LCH.Clearnet's SwapClear service so it can plan ahead for market structure changes and optimize its clearing solutions.
  • Tradition Chooses Financial Extranet from OrangeJune 11, 2012Orange's extranet been extended to include connectivity to swap execution facilities, and tailored to meet the U.S. regulatory requirements of the Dodd-Frank Act.
  • Nasdaq's Facebook IPO Reimbursement Plan Angers RIvals, But It's Also a Clever MoveJune 08, 2012Despite the strong criticism from rival exchanges, one analyst sees it as a clever move to make Nasdaq a more attractive venue.