By Scott Patterson
Published September 10, 2014 The Wall Street Journal
Market regulators are considering imposing additional steps to require greater transparency and disclosures by private trading platforms and heightened oversight of computerized trading strategies.
The Financial Industry Regulatory Authority will weigh a new set of rules at its Sept. 19 meeting, including a proposal that would require trading platforms, including so-called dark pools, to provide additional details about buy and sell orders. Dark pools are alternative trading venues that currently don't post buy and sell orders, only reporting trades after they take place.
By Yakob Peterseil
Published May 16, 2014 Risk
Financial Industry Regulatory Authority (Finra) staff warned brokers in more than 50% of cases not to use sales materials related to structured products that failed to comply with new communications rules, said Thomas Selman, executive vice-president for regulatory policy at Finra, speaking at a conference last week.
More than half of sales materials related to structured products have earned a "do not use" warning from Finra staff in the past 14 months, while 75% merited comments for perceived deficiencies under the new rules, Selman told the Structured Products Americas conference in Miami on May 8.
By Lorie Konish
Published June 20 2012 Financial Planning
In the puzzle of oncoming financial regulation, how to properly oversee firm’s liquidity is one of the largest pieces regulators are now working to get right.
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By Jean Eaglesham
Published June 03 2012 Wall Street Journal
A Wall Street regulator is pushing to extend conflict-of-interest curbs to include analysts and investment bankers who work in the giant market for debt offerings.
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By Ashley Lau and Suzanne Barlyn
May 7, 2012 Reuters
Two top legal advisers at Wall Street's self-watchdog, the Financial Industry Regulatory Authority, are departing, according to people familiar with the matter.
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