Finra Trade-Surveillance System Will Be Redesigned
May 20, 2014 - The Financial Industry Regulatory Authority, Wall Street's self-regulator, is changing the design of a trading-surveillance system that has drawn opposition from brokers, Chief Executive Officer Rick Ketchum said in a speech.
SEC fines Nyse and affiliates $4.5 million multiple violations
May 1, 2014 - The Securities and Exchange Commission today announced an enforcement action against the New York Stock Exchange and two affiliated exchanges for their failure to comply with the responsibilities of self-regulatory organizations (SROs) to conduct their business operations in accordance with Commission-approved exchange rules and the federal securities laws.
GAO criticises SEC cybersecurity
April 22, 2014 - The Securities and Exchange Commission has been criticised by a US congressional watchdog over cybersecurity weaknesses, including the failure to authenticate users and encrypt sensitive data.
SEC to conduct market-wide cyber-security checks
April 16, 2014 - The Securities and Exchange Commission is to conduct checks on more than 50 registered broker-dealers and investment advisors to assess their ability to counteract cyber-security threats.
Sifma calls for US rulemakers to step up deployment of Legal Entity Identifiers
April 14, 2014 - US securities trade body Sifma has called for broader uptake of Legal Entity Identifiers by the country's regulators, amid fears that the US is being left behind as other nations push ahead with mandatory implementation of the uniform trade reporting standard.
Regulators warn US banks to take action over Heartbleed exploit
April 11, 2014 - US regulators have warned the nation's banks to undertake a complete overhaul of their security infrastructure to counteract the threat from the Heartbleed bug.
Survey Finds Industry Lagging Behind Market Regulation Deadlines as SEF Trading Begins to Take Off
April 9, 2014 - Survey Finds Industry Lagging Behind Market Regulation Deadlines as SEF Trading Begins to Take Off.
Asia-Pacific Buyside Firms Need to Quickly Secure OTC Derivatives Clearing Brokers Ahead of Global Regulatory Changes
April 7, 2014 - Many Asia-Pacific institutional investors are unprepared for the introduction of regulatory reforms governing the US$600 trillion global OTC derivatives market, according to a new piece of research by GreySpark Partners - an international capital markets consulting firm.
