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Finra
Latest Headlines
Latest Headlines
Finra aims for brokerage cyber security
It was only a matter of time before the financial industry regulators started to pay more attention to cyber security concerns. The likelihood of a massive breach grows with every day, and perhaps
Regulators take close look at algorithms and ETFs
Regulators are taking a closer look at high-frequency trading, though it is not all that clear what exactly they are looking for. They claim that this is not a fishing expedition but rather a
FINRA social media guidance preserves social media revolution
FINRA's latest guidance on social media for broker dealers, issued in August, does not appear to deal the social media movement in the industry a fatal blow, but it does underscore that the
Spoofing leads to FINRA charges, suspension
Is this an example of why canceled orders matters, and why some people suggest that perhaps regulators need to act? The Financial Industry Regulatory Authority (FINRA) has suspended trader Robert
Social media compliance issues increase
Many companies have tasted the Kool-Aid when it comes to social media. They've seen the promise and have moved in gung-ho fashion to rollout various bits and pieces of social media functionality.
Better technology to police insider trading?
Not too long ago, people thought the market surveillance systems put in place by FINRA, the SEC and other market centers were so sophisticated that they really were deterring insider trading. People
Social networking still going slow at brokerages
Back in January, FINRA announced some guidelines for brokerages that wanted to get into social networking. The guidance emphasized that firms must develop policies and procedures--in the context of
ITG says exchanges should impose high message traffic fees
One of the big issues in the on-going debate about high-frequency traders concerns orders that are injected into the system that are not really orders to buy or sell securities--instead they serve
Was Trillium activity really a case of illicit high-frequency trading
It was huge news when FINRA fined Trillium , a New York brokerage firm, $2.26 million for an using "an illicit high-frequency trading strategy." FINRA also fined and suspended the heads of compliance
Update: SEC tweaks rules on circuits breakers, extends to ETFs
As expected, the SEC has tweaked the new circuit breaker rules imposed in response to the May 6 Flash Crash. Originally, the new breakers were imposed only on Standard & Poor's 500 stocks. But
