Views on improving the integrity of global capital markets

Securities Market Regulation

Regulators Shining a Light on Dark Pools

Regulatory net continues to tighten around dark pools as the list of badly behaved HFT and dark pool firms grows.

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

Jim Allen, CFA, examines proposals on tick sizes for small-cap companies, fixed-income market transparency, and a small-cap company structure for venture markets.

Predatory HFT Strategies: Is “Information Transmission Zoning” the Solution?

A new report may hold the answer to alleviating issues surrounding predatory HFT algorithms.

Big Market Data: Finra Proposals to Bolster Dark Pool, Bond Market Transparency

Finra rules providing better view into the state of the markets are long overdue.

HFT and IEX’s “Fair-Access” Platform: One Step Forward, Two Steps Back?

IEX applies for exchange status and requests SEC policy change that could harm investors.

Good HFT, Bad HFT: Dividing Line between Predatory and Passive Strategies

Important distinction between passive and predatory strategies rarely made explicit in high-frequency trading debate.

CFA Institute: Strengthen Regulations to Enforce Investor Rights in Cases of Abuse

Report recommends improving traditional approach to supervision that currently punishes misconduct without directly benefitting the victims.

End the Silent Treatment: Why Regulators Should Promote Market-Fraud Prevention Efforts

The Singapore Exchange’s market-fraud surveillance may not be well known, but it’s critical to maintaining a level playing field for investors.

Buyer Beware: the Common Traits of Investment Product Scams

Applying the investing lessons of frauds and Ponzi schemes to the capital markets

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