Tag Archives: Finra

MarketWatch: Exchanges Have ‘Homework’ after SEC Meeting on Tech Glitches

According to The Tell’s Sital Patel, the Securities and Exchange Commission is asking stock exchanges to come up with a series of concrete measures to ensure that market systems are of the highest standards and ensure better communications when breakdowns … Continue reading

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“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

Posted in CFTC, Dark Pools, FINRA, NASDAQ, NYSE, Regulatory Updates, SEC | Tagged , , , , , , , , , , , , , | Leave a comment

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

Posted in Breaking News, Dark Pools, Finance, High Frequency Trading, Regulatory Updates | Tagged , , , , , , , | 1 Comment

High-Frequency Trading Is Making a Joke of the Markets

“The secret of life is honesty and fair dealing. If you can fake that, you’ve got it made!” –Groucho Marx I suspect the SEC, FINRA, and CFTC are big fans of Groucho Marx, or at least his observations on fair dealing. How else could they … 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

Posted in Business, Dark Pools, Finance, High Frequency Trading, Regulatory Updates | Tagged , , , , , , , , , | 2 Comments