Trading

N.Y. attorney general discusses ongoing investigation of high-frequency traders

N.Y. attorney general discusses ongoing investigation of high-frequency traders

New York Attorney General Eric Schneiderman said Friday that his office is investigating several high-frequency trading organizations that gain advantages by receiving market information early.

October 04, 2013 | 04:04 pm
White: SEC to crack down on sophisticated trading, dark pools

White: SEC to crack down on sophisticated trading, dark pools

The SEC plans to bring more actions on trading, Mary Jo White, SEC chairwoman said Thursday before some 400 attendees at the Council of Institutional Investors conference in Chicago.

September 26, 2013 | 01:51 pm

Communication key to OTC derivatives rules changes, report states

Early and comprehensive consultation among regulators is key to any cross-border changes in OTC derivatives rules, according to a report by regulators in the U.S., European Union, Japan and five...

September 03, 2013 | 01:01 pm
Asset owners, managers are sort of ready for new swaps rules

Asset owners, managers are sort of ready for new swaps rules

Institutional investors and money managers say they are ready — more or less — for regulations on over-the-counter derivatives that become effective Sept. 9.

September 02, 2013
Trading problems sparking calls for closer oversight of exchanges

Trading problems sparking calls for closer oversight of exchanges

A spate of recent glitches in trading markets is putting pressure on federal regulators to step in, and on institutional money managers to pay more attention to market infrastructure.

September 02, 2013

Derivatives tax proposal could have dire consequences

A draft proposal in Congress to change the taxation of financial products could affect pension funds and other tax-exempt institutional investors.

September 02, 2013

Shock awaits unprepared, thanks to Dodd-Frank

On Sept. 9, some $2 trillion in corporate defined benefit pension plan assets, affecting approximately 20 million plan participants, will be subject to new regulations under the Dodd-Frank Wall...

September 02, 2013
Nasdaq says software flaw exposed in data flood that led to halt

Nasdaq says software flaw exposed in data flood that led to halt

Nasdaq OMX Group provided more details about its three-hour trading halt last week, saying a flood of data received from NYSE Arca exposed a software flaw in its conduit for disseminating prices.

August 29, 2013 | 03:04 pm

BATS agrees to merge with Direct Edge as volume shrinks

BATS Global Markets and Direct Edge Holdings agreed to merge, uniting two of the biggest U.S. exchange operators amid a four-year decline in volume.

August 26, 2013 | 03:49 pm
Nasdaq halts trading after computer errors

Nasdaq halts trading after computer errors

Computer malfunctions disrupted trading at U.S. exchanges Thursday, with all three options markets run by Nasdaq OMX Group halting transactions after NYSE Arca canceled some live orders earlier.

August 22, 2013 | 01:20 pm

Ontario Municipal Employees a founding investor in potential hybrid exchange

Ontario Municipal Employees Retirement System, Toronto, has joined an investor group seeking to create a new stock exchange in Canada.

August 14, 2013 | 04:16 pm
 NYSE Euronext to take over administration of LIBOR

NYSE Euronext to take over administration of LIBOR

Britain will hand over administration of the London interbank offered rate to the operator of the New York Stock Exchange as regulators try to revive confidence in the scandal-hit benchmark.

July 09, 2013 | 09:29 am
MF Global settles with CFTC; Corzine and O'Brien face civil penalties, trading ban

MF Global settles with CFTC; Corzine and O'Brien face civil penalties, trading ban

The U.S. Commodity Futures Trading Commission filed an enforcement action alleging unlawful use of customer funds and other violations against MF Global Inc. and its parent company MF Global Holdings ...

June 27, 2013 | 06:05 pm
Royal Bank of Canada leads group creating exchange to compete with TMX

Royal Bank of Canada leads group creating exchange to compete with TMX

Royal Bank of Canada is leading a group of investors and brokers creating a Canadian stock exchange to compete with TMX Group's Toronto Stock Exchange.

June 25, 2013 | 02:43 pm
SEC settles with CBOE over regulatory shortcomings

SEC settles with CBOE over regulatory shortcomings

The Chicago Board Options Exchange will pay a $6 million penalty and implement remedial measures to settle charges announced Tuesday by the SEC that the exchange and an affiliate experienced...

June 11, 2013 | 04:03 pm
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