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Keyword: Trading rules

96 results found
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FCA to review conditions that led to trading breakdown

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Clarida was scheduled to finish his term this month but will instead resign about two weeks early

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Regulator makes changes in light of new SRO and forthcoming regulations

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Two of the entities operated as an exchange without regulatory approval, while the third had quarterly report inaccuracies

  • By: IE Staff
  • December 1, 2021 December 1, 2021
  • 13:36
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Group flags the problem of accurately valuing thinly traded securities

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Action on issues uncovered in SEC review would prove positive for most, Moody's says

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A report highlights possible reforms to address issues uncovered in volatile trading

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The regulator tightens "payment for order flow" prohibition

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Zero-commission trading isn't free, it comes with hidden costs, ESMA says

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FINRA reminded firms that order routing must seek best execution, not richest incentives, in a recent notice