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Keyword: Trading rules

147 results found
Trader at computer screen

Regulators to boost fee transparency, explore enhanced retail access

Silhouette of man at sunset

Expanding access to advice, standardizing KYC data collection on SRO's agenda


Off-channel communications hamper regulatory oversight


Expansion of business lines multiplies conflicts and regulatory challenges

Financial Technology concept illustration of Businessman pointing at abstract blue business charts and icons

Consultation paper on test environment for trading, clearing digital assets will be open for feedback until May 29

Review process

First oversight review finds SRO complying with recognition order

Advisor tracking stocks

ESMA consultation finds mixed feelings on shorter settlement cycle

Euro trading

Policymakers to implement consolidated tapes, ban payments for order flow

stock market data

Self-regulatory organization proposes new settlement obligation and expanded guidance

Businessmen trading stock looking at graphs indexes and numbers on multiple computer screens

Guards against "fat finger" error to face regs’ scrutiny