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Analyzing the IRS cost basis reporting regulations: Critical updates for brokers & custodians on the new proposed regs
Your blueprint to cost basis reporting compliance – proposed regs clarified.
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Web Seminar Library

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Breaking News

RealTick Adds Access To Knight Algorithms And Liquidity

Electronic trading platform provider RealTick said today it has expanded access to Knight Capital’s algorithms and liquidity through Knight Direct.

Madoff Backlash: 1 Beaten, 2 Indicted

Billion-dollar Ponzi scheme artist Bernard L. Madoff was beaten in prison just before Christmas over money allegedly owed another inmate. And two Madoff computer programmers are indicted.

FINRA Enforcement Chief Departing

Susan Merrill is leaving her post as executive vice president and chief of enforcement at the Financial Industry Regulatory Authority. A date for the departure has not been set, according to an overnight report.

SEC Pursuing Creation of IT Forensic Lab

The Securities and Exchange Commission said it intended to undertake the establishment of a forensics lab relying on state of the art information technology, to help it oversee the operations of the nation's financial markets.

BATS Options Joins the Options Industry Council

BATS Options, the options venue operated by Kansas City, Mo.-based BATS Global Markets, has become a member of The Options Industry Council (OIC).

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Perspectives

Guest Comment

The Will and Way to Surveill

Whether government regulators or market centers or other self-regulatory organizations should conduct trading surveillance of our markets may not be the ultimate question.

Comment

Calling for Action

The call was great: A "consolidated data pool should be surveilled by a unified single regulator," the head of FINRA said in late October. "A single regulator that can bring the best technology, the best people, and a unified set of rules needs to be empowered." How's the empowering going?

Original Sources

Risk Analysis: Technology Outstrips Firms' Abilities to Use It

Technology has advanced risk analytics far beyond financial services firms' abilities to use it.

Viewpoints

Q&A: Microsoft Pivots to Deliver More Data, Faster

Joe Pagano insists that he is looking forward to work in the months ahead as "Microsoft has never released more value in its platforms for financial service firms than it has with the current wave."

Voices

RULE BOOK
Carol E. Curtis

The Operational Challenges of 'Bespoke' Accounts

At the same time that investors in hedge funds are increasingly demanding managed accounts, these “bespoke accounts” also pose operational challenges – including additional overhead and systems requirements – for hedge fund managers.

OPS REPORT
Chris Kentouris

Money Market Funds Must Now Play Tag

Operations staff soon will be faced with the task of quickly reporting more information about the holdings in their money market funds. And they will have to do so using the eXtensible Markup Language (XML) tagging format.

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