FINRA’s board on Friday made several proposals to improve transparency in alternative trading systems in dark pools, both for the equity and fixed-income markets.
September 19, 2014 | 03:56 pm
BlackRock Institutional Trust and RA Capital Management were among 19 firms and an individual trader that settled with the SEC over charges they illegally participated in stock offerings less than...
September 16, 2014 | 01:34 pm
The Securities and Exchange Commission's latest salvo in the war against market instability could mean higher trading fees for money managers and some smaller equity trading venues curtailing...
September 15, 2014
An agreement on forming a cooperative capital markets regulatory system was announced this week by Canadian Finance Minister Joe Oliver and ministers of four Canadian provinces.
September 11, 2014 | 02:11 pm
The Commodity Futures Trading Commission softened restrictions on advertising by hedge fund managers that are registered as commodity pool operators.
September 10, 2014 | 02:58 pm
Derivatives regulators told the Justice Department they've found evidence of criminal behavior following an investigation into banks' alleged manipulation of ISDAfix, a benchmark used to set rates...
September 08, 2014 | 05:34 pm
Alaska Electrical Pension Fund, Anchorage, filed a lawsuit Thursday charging that 13 banks conspired to fix the ISDAfix benchmark rate, a “key interest rate for a broad range of interest rate...
September 05, 2014 | 01:44 pm
Investment Technology Group, operator of one of the oldest U.S. equity dark pools, is expanding into corporate bonds.
September 04, 2014 | 02:19 pm
IEX Group has completed a $75 million round of funding led by boutique venture capital firm Spark Capital.
September 03, 2014 | 12:56 pm
Recent investigations into dark pools and high-frequency trading are causing institutional investors to reconsider just what constitutes best execution — and how to measure it. And the pressure ...
September 01, 2014
Money managers and other financial service firms are not putting their money where their mouths are when it comes to compliance, a new survey finds.
September 01, 2014
The SEC on Tuesday announced a one-year pilot program to widen minimum tick sizes for small-cap stocks.
August 26, 2014 | 05:46 pm
Christopher J. Kirkpatrick was named secretary of the Commodity Futures Trading Commission.
August 25, 2014 | 02:14 pm
Former U.S. Commodity Futures Trading Commission member Bart Chilton, an outspoken critic of some high-speed trading practices while at the agency, has been enlisted in a Washington-based effort to...
August 21, 2014 | 05:08 pm
Asset owners are paying a lot more attention to where their money managers execute trades — decisions that have generally been left to the discretion of the managers — and some are...