Regulations 

Opinions

Regulating the Financial Services Industry Is a Balancing Act
Getting regulation right is like balancing on a knife's edge - tilt too far one way and the industry is hamstrung; tilt too far the other way and reduce the trust that is required for a functioning capital market.

Much Ado About Nothing
Sarbanes-Oxley is only partly to blame for the decline in foreign companies listing their stock on U.S. markets.

The Benefits of Competition
The exchanges' battle for market data revenue should lead to innovation.

Reg NMS Turns 1
This month marks the one-year anniversary of the passage of Regulation NMS, which was approved by the Securities and Exchange Commission on April 6, 2005, paving the way for a more interactive, electronic marketplace.

Defining a Good Market Structure
The subtleties among market structures - auction, order-book, over-the-counter, open outcry, crossing - are enough to make scholars tongue tied.

Research

Ramifications of Reg NMS and MiFID: More Sources of Data and Greater Volume of Quote Data
The European Union's Markets in Financial Instruments Directive (MiFID) and the United States' Regulation National Market System (Reg NMS), scheduled to be final in the fourth quarter of 2007, will drastically change the way the securities industry handles market data.

Regulation NMS: Preparing for Impact
As we approach the Regulation NMS implementation deadline, brokers and exchanges are faced with the challenge of utilizing technology in order to become compliant while adapting to the evolving marketplace.

Reg NMS vs. MiFID
Regulation National Market System (Reg NMS) and the Markets in Financial Instruments Directive (MiFID) represent major changes in the structure of the markets for equities trading in the U.S. and European Union (EU) respectively.

This page focuses on news and analysis of regulations facing the securities industry, in particular regulation that is aimed at buy and sell side traders. The most recent and important regulation facing the industry is Regulation National Market System or Reg NMS, which as components that cover trading and market data. This page includes a Reg NMS Cheat Sheet that boils that 500 page rule down to 4 pages as well as directories providing the industry more information on this rule. Other pending rules include rules impacting soft dollars. This section also covers pending or potential areas that the SEC or other regulatory bodies could consider regulating as they arise.


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