Regulations
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July 31, 2008 | |
SIFMA’s Credit Rating Agency Task Force Supports SEC Ratings Proposals
June 26, 2008 |
SunGard Launches New Compliance Tool
June 02, 2008 |
STA Releases Special Report on Market Structure
April 30, 2008 |
UBS Trading Floor Driven By Proprietary Technology
July 31, 2007 | About 80 percent of the trading technology used at the firm is internally developed.
Your Guide to the Ultimate Trading Floor
July 31, 2007 | Firms are vying for prime real estate as they seek to build bigger and more technologically advanced trading floors. But what goes into building the ultimate trading floor?
TowerGroup’s Little-Gill Joins Linedata
July 04, 2007 | Gavin Little-Gill, Towergroup Research Area Director leaves to join Linedata
REG NMS Toolbox
Reg NMS-Compliant Exchange Trading Systems DirectoryReg NMS Cheat Sheet
Reg NMS Compliance Calendar
VIDEO:
AT's Kerry Massaro on Reg NMS
(Clip from CNBC's Squawk Box)
Opinions
Risk Mitigation Lies in Diversity
Regulating the Financial Services Industry Is a Balancing Act
Much Ado About Nothing
The Benefits of Competition
Reg NMS Turns 1
Research
Ramifications of Reg NMS and MiFID: More Sources of Data and Greater Volume of Quote Data
Regulation NMS: Preparing for Impact
Reg NMS vs. MiFID
Popular Articles
- The Top 10 Quant Schools, According to the Street
- End Game: Anti-Gaming Technology in Dark Pools Tops Buy-Side Agenda
- Anatomy of A Trading Floor--ING Investment Management
- Muriel Siebert Has a Few Things to Share With Regulators
- The Quant Generation
- Sapient Boosts Derivatives Operations with Acquisition of DCG Consultancy
- Electronic Trading: The Latency Challenge
- UBS Global Asset Management Finds Efficiencies with Central Trade Manager
- UNX to Release New Trading Engine
- Demand for Quants Surges as Trading Requires More Math and Programming Skills
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.
