Keyword: Trading rules

89 results found
Smartphone with finance and market icons and symbols concept

Game-like trading apps and Reg BI top the U.S. SRO's compliance exam agenda

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Trade supervision and surveillance are priorities for the year ahead

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The exchange plans to adopt revised closing rules and functionality in October

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Subsidiaries allowed institutional investors to trade before getting the regulator's approval

close up image of stock market data on a computer

New rules will expand the content of market data, allowing for competing data consolidators

Consultation addresses growing demand for regulatory action on data access

time clock

New client identifier requirements for listed securities take effect in July 2021

40556994 - close up image of stock market data on a computer monitor.

ESMA research finds that more than 4% of liquidity is fleeting

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Proposed exemption would allow non-accredited investors to self-certify their sophistication

Hi-tech technological background with numbers and calculations

Proposed guidance targets efforts to increase data access