Views on improving the integrity of global capital markets
16 October 2014

DC Policy Update: SEC, FINRA Roll Out Proposals to Aid Market Transparency (Podcast)

Posted In: Market Structure, US SEC

In this edition of DC Policy Update, Jim Allen, CFA, head of Americas capital markets policy at CFA Institute, considers SEC and FINRA proposals on market structure issues, which have become a more mainstream topic of interest in recent months, thanks to Michael Lewis’ book, Flash Boys. (See our related commentary on the Lewis book.)

Among the highlights of this podcast:

  • Tick sizes for small-cap companies
  • Small-cap company structure for venture markets
  • Fixed-income market transparency

Reading this on mobile device? Click here to listen to the audio.

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About the Author(s)
Rebecca Arrington

Rebecca Arrington is a communications specialist at CFA Institute.

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