SEC

Challenges to CAT Adoption Still Remain

One month ago, on April 27, the Securities and Exchange Commission published its plans for a mandated Consolidated Audit Trail (CAT) for public comment, along with an economic analysis of the initiative, which it estimates will cost the industry $2.4…

Quality Time for Counterparty Data

A recent report by an international group of market supervisors has expressed concern about firms’ ability to report on their counterparties. Why does this area of data management remain so challenging and what should firms do to a get a handle on it,…

US Exchanges, SEC Mull Anti-Data Glitch Proposals

In the past month, stock and option exchanges have agreed and submitted to the US Securities and Exchange Commission recommendations to strengthen the performance of the US capital markets infrastructure, following several well-publicized data failures…

SEC Calls for Kill Switches Post-Nasdaq Outage

US Securities and Exchange Commission (SEC) chair Mary Jo White met with top industry executives today following the technology glitch on August 22 that saw the trading of Nasdaq-listed securities halted for three hours.

Lessons from the Hash Crash

Over the past few months, a series of glitches similar to the one that caused the Hash Crash has made it clear that the financial markets are at the mercy of high-frequency trading machines. Some of these systems feed mostly on social media content,…

Anthony Malakian: HFT: Enemy of the State

With high-frequency trading existing in a state of uncertainty, the FBI is looking to join the SEC in examining the role algorithmic trading plays in the capital markets. Anthony says this is a good thing.

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