Views on improving the integrity of global capital markets

Capital Market Regulation

CFA Institute: Learn from SEC’s CAT Before Building FINRA’s CARDS

FINRA’s investor protection motivations are certainly laudable, but CFA Institute recommends implementation of the SEC’s CAT system, which is further along, before FINRA’s CARDS system.

Are Frequent Batch Auctions a Solution to HFT Latency Arbitrage?

Profitability of HFTs has declined rapidly in recent years, most likely as a result of the physical limits of reducing latency being reached.

DC Policy Update: What to Expect after the Midterm Elections (Podcast)

Jim Allen, CFA, hones in on three financial policy issues and their likely future in Congress post-mid-term elections.

Investors to Public Companies: Disclose and Justify Political Contributions

As SEC weighs proposed political donation disclosure requirement, a CFA Institute survey finds support for such donations as long as public companies disclose them.

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