Tag Archives: Financial Industry Regulatory Authority

“Dark pools”, Private “Off-the-record” Buying and Selling of Corporate Stocks, Run Deep in Financial Markets

Richard Scamehorn writes that a Dark Pool has no formally designated name because it doesn’t exist as an entity. It only exists in the back rooms of investment bankers — notably in the largest participants, Credit Suisse Group AG, Barclays … Continue reading

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U.S. regulators scrutinize risk controls for high-frequency trading

NEW YORK –  U.S. regulators are taking a deep look at automated trading firms to determine whether adequate risk controls are in place to prevent major technology glitches or at least minimize their impact. The Financial Industry Regulatory Authority said … Continue reading

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High-Frequency Traders’ Safeguards Come Under Scrutiny

WASHINGTON—A raft of computer glitches that have plagued markets in recent years amid a burst of high-speed trading is sparking a widening crackdown by Wall Street overseers. Regulators are focusing on the complex computer systems deployed by high-frequency trading firms, … Continue reading

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Threats to Financial Markets Lurk in Dark Pools

Regulators on two continents have noticed that too much trading in stocks takes place out of sight. Tomorrow, European finance ministers plan to endorse legislation that would force transactions in privately owned venues known as dark pools into an organized … Continue reading

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FINRA Considering Rule to Require More Dark Pool Data Disclosure

A Wall Street regulator is considering new rules to shine light on dark trading after the largest U.S. dark pool operator stopped sharing data on the volume of its trades. The Financial Industry Regulatory Authority, the private-sector regulator of U.S. … Continue reading

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U.S. Regulators Investigating if High-frequency Traders are Distorting Stock and Futures Markets: ‘Wash Trades’

According to The Wall Street Journal’s Scott Patterson, Jenny Strasburg and Jamila Trindle, U.S. regulators are investigating whether high-frequency traders are routinely distorting stock and futures markets by illegally acting as buyer and seller in the same transactions, according to … Continue reading

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FINRA To Crack Down On Dark Pools, High Frequency Trading

According to  Michelle Jones, the Financial Industry Regulatory Authority, said it is expanding its oversight of private trading venues known as “dark pools.” The regulator will also keep closer tabs on rapid-fire trades. Private trading venues known as “dark pools” … Continue reading

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Commissioner Bart Chilton, Commodity Futures Trading Commission (CFTC), Returning to World’s Most Influential High Frequency Trading Conference

Commissioner Bart Chilton, Commodity Futures Trading Commission, will return this fall to Golden Networking’s High Frequency Trading Leaders Forum 2012, “How Traders, Brokers, Exchanges and Dark Pools Navigate the Most Challenging Regulatory Landscape”. This conference will provide attendees in New … Continue reading

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CME Slams Limit Up/Limit Down Plan

As reported by Traders Magazine’s Peter Chapman, CME Group says a proposed limit up/limit down plan for stocks and exchange-traded products is bad market structure. The operator of four futures exchanges told the Securities and Exchange Commission in a letter last … Continue reading

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Thumbs Up for Limit Up/Limit Down

According to Trader Magazine’s Peter Chapman, the trading community likes the proposed limit up/limit down rule, but it still has quibbles. The response from traders has largely been positive. “The trading community did not like the individual circuit breakers,” said … Continue reading

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