Securities Market Regulation
How is your firm complying with the performance requirements of the SEC Marketing Rule?
Social media is borderless. Regulation is not. That's why global cooperation among regulators is necessary to deliver the best possible outcomes for consumers.
SEC Rule 13F is seeking to raise the asset threshold for investment managers to report their holdings rom $100 million to $3.5 billion.
A brokerage scandal in India led to an immediate reform which did not go through a consultation process. The resulting rules have had a significant unintended impact on client experience, which has varied across brokerages.
The SEC does not intend to pursue the use of third-party examiners to conduct their investment adviser examinations.
Ban on payment for order flow positive for the quality of the UK market. Study finds that the proportion of retail trades executing at best quoted prices increased — a win for market integrity.
Crowdfunding as an option for the offer and sale of securities became a reality when the SEC’s Regulation Crowdfunding went into effect in May.
IEX got approval from the SEC on 17 June to become the 13th registered stock exchange, as of August. Can IEX bring its intended benefits to investors? Will NASDAQ challenge the SEC’s decision?
The UK’s Financial Conduct Authority has released a report that aims to determine if high-frequency traders are anticipating order flow across markets. It finds …
Our TabbFORUM article on the IEX exchange application generated a lot of feedback. Will the SEC OK the current application? Will encouraging time-delay competition among exchanges benefit investors?
Market structure issues rarely attract mainstream media attention. But IEX application gets to the heart of the integrity of the market, the efficacy of the regulatory framework, and whether investors have a fair opportunity to earn a return.
EMIR’s aim is to make the clearing and reporting of OTC derivatives mandatory.
CFA Institute supports greater transparency over SFT activities and better monitoring of potential financial stability risks.
SIFMA proposal clings to antiquated idea that product sales is reasonable substitute for quality investment advice.
As regulators balance budget constraints with the need for proper market oversight, some are tapping external resources for support. Is it in the long-term interests of investors?