Regulation

The Securities and Exchange Commission (SEC), the US financial regulator, has issued an emergency order to improve investor protections against ‘naked’ short selling.

The Securities and Exchange Commission, the US financial regulator, has increased its efforts to stamp out the deliberate spreading of false rumours to manipulate securities prices.

As the strategies of hedge funds and more traditional asset managers converge, three categories of buy-side firm are emerging, according to Dr. Anthony Kirby, director, financial services advisory, regulatory and risk management at consulting firm Ernst & Young.

Weeden & Co, a full-service US institutional broker, has teamed with financial software provider Pragma Financial Systems to offer second-generation anti-gaming logic for dark pools.

The Financial Services Authority (FSA), the UK’s financial regulator, is to issue new disclosure rules on contracts for difference (CfDs).

The Securities and Exchange Commission (SEC), the US securities regulator, has proposed rule changes to increase the range of services foreign broker-dealers are allowed to offer in the US.

Turquoise, a pan-European trading platform, received authorisation from the UK’s financial regulator, the Financial Services Authority (FSA), on Thursday to operate as a multilateral trading facility.

The Investment Management Association (IMA) has asked the Financial Services Authority (FSA) to lead efforts to iron out post-trade market data problems following the introduction of MiFID.

The UK Financial Services Authority (FSA) is planning to restrict short selling of a company’s stock while it is undertaking a rights issue.

A combination of high levels of automation, soaring market data volumes and cut-throat competition have turned trade execution in the US equity markets into a “complex science”.