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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

Boston Options Exchange Moving Operations to Equinix

The Boston Options Exchange (BOX) said today it is moving its operations within the Equinix NY4 International Business Exchange (IBX) data center in Secaucus, N.J.

Newedge Joins International Derivaties Clearinghouse

Multi-asset brokerage services provider Newedge USA has finalized its membership with the International Derivatives Clearinghouse, a derivatives clearing organization regulated by the CFTC.

Interdealer Broker Tullett Prebon on the Block

London-based interdealer broker Tullett Prebon confirmed Wednesday that it is in talks about a possible sale of the firm.

Morgan Stanley Says SEC Dark Pool Proposal “Too Granular”

Morgan Stanley says in a comment letter to the Securities and Exchange Commission that its proposal to regulate dark pools is too “granular” and that instead a more fundamental approach is needed.

Federal Court Fines First Capitol Futures $20.3 Million

The Commodity Futures Trading Commission (CFTC) said a federal order has levied $20.3 million in fines against David Michael Kogan and First Capitol Futures Group of Sherman Oaks, CA.

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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

The Demands of Electronic Delivery

The right way to spur electronic delivery of annual reports and other documents to shareholders is ... to create better, slimmer print documents, prove their value to readers and then let them opt to get the "excruciating detail" online.

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

To Attract Institutional Capital, Hedge Funds Need IT Edge

There's good news for hedge funds -- at least, for those able to meet the increasingly rigorous standards of institutional investors in critical areas such as risk management, transparency and operations.

UPTICK
Tom Steinert-Threlkeld

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?

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