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Keyword: Trading rules

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Regulators require internal compliance expertise

  • By: Ian Russell
  • September 26, 2022 September 26, 2022
  • 15:00
40556994 - close up image of stock market data on a computer monitor.

SRO provides guidance on short covering expectations

stock market

SEC proposal to narrow FINRA exemption should benefit brokers

Judge gavel, scales of justice and law books in court

Proposal would narrow exemption from FINRA for prop trading firms


Software updates caused various issues undermining market oversight

Hand choosing employee group of businessmen new job appointment notice

SRO committees focus on market regulation, fixed-income trading issues

upclose stock market arrows green and red

The FCA launched a consultation on trade reporting, transparency and tick size changes

stock market down

Possible SEC reforms to order handling rules would reshape trading landscape: Moody's

Wall street sign in New York with American flags and New York Stock Exchange background.

Regulator to consider sweeping market structure reforms

Stock market quotes

Research published by the World Federation of Exchanges finds stressed markets in March 2020 were calmed by trading halts