Financial industry Regulatory Authority (Finra)
MTS Prepares to Launch US Fixed-Income Platform
Fixed-income trading marketplace MTS has announced that it will launch a bond platform for US institutional entities, and has registered a US subsidiary in the process.
MTS Prepares to Launch US Fixed-Income Platform
Fixed-income trading marketplace MTS has announced that it will launch a bond platform for US institutional entities, and has registered a US subsidiary in the process.
ConvergEx Readies Electronic Blue Sheet Compliance
ConvergEx Group has announced that its LiquidPoint options trading software will be fully compliant with Electronic Blue Sheet (EBS) requirements in the US, once they come into force on November 1, 2013.
Colby, Four Others Join DTCC Board
Finra's chief legal officer, Robert Colby, is joined by four representatives of financial firms' clearing agencies on the board of the Depository Trust & Clearing Corporation.
Surveying the Social Data Frontier
New guidance from US regulators on what is permitted for communicating via social media could create a new source for securities reference data for data managers to consider. Michael Shashoua reports on the significance of the SEC and Finra moves, as…
Finra Taps Citi's Randich as CIO
Former Citi, Nasdaq CIO will lead regulator's technology initiatives.
Jake Thomases: A Step in the Right Direction
It’s not often that when it comes to introducing new regulations, the SEC garners appreciable industry support. But as Jake explains, one of the regulator’s most recent pieces of legislation affecting large swaths of the US financial services industry,…
Technology Integral as New Finra Suitability Regulations Come Into Force
Finra's rules 2090 and 2111 are set to make suitability a bigger issue for brokers, bringing legal clarity but also the need for holistic solutions.
Regulators Advocate Broader View of Data Systems Issues
Teresa Glasser, acting deputy director of the US Treasury Office of Financial Research, spoke about taking an overall view of data and systems issues for identifiers, in a discussion at Sifma, as Inside Reference Data editor Michael Shashoua recounts
FTEN Adds Real-Time Options Analytics to Risk Platform
RX platform enables risk managers to leverage volatilities data and view exposures in real-time, complying with SEC and Finra regulation.
Finra Fines Sell-Side Firms for Lacking 'Adequate Supervisory Systems'
Self-regulatory body says Citi, Morgan Stanley, UBS, and Wells Fargo did not have sufficient knowledge of leveraged and inverse ETFs they were selling.
MarketAxess Launches REXIQ for TCA
New software provides enhanced transaction cost analysis in fixed income markets.
Fidelity ActionsXchange Adds Material Events
Strapline: Corporate Actions
FINRA Recognizes Bloomberg Open Symbology
Free-to-use framework given green light by US regulator.
An Algorithm in Every Household
What will happen if algorithmic trading technology inevitably trickles down to the retail investor? We consider the possibilities for industry operations and regulation
Identification Proliferation
New order audit trail specifications are expected to generate increased volume of codes for processing, including more rejected code issues for firms to address. Michael Shashoua lays out the scope of the new rules and how firms are viewing the…
Teradata Integrating Aster Data Capabilities
Strapline: Data Management
