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Front Page
Shakeup at Division of Trading and Markets
The Securities and Exchange Commission's division of trading and markets is undergoing a major reorganization that will shift the responsibilities of top officers.
Regulators Shine Light on Auction Rate Securities
Following a series of law suits by investors against brokerages, the Financial Industry Regulatory Authority and SEC are looking into possible irregularities in auction rate securities.
Fidelity Enters Self-clearing Outsourcing
Fidelity's National Financial is planning to offer a processing and operations outsourcing service to self-clearing broker-dealers--a sizable market segment.
Swift Moving to Streamline Corporate Action Processing
Swift's new testing program will allow members and vendors to see how their usage of corporate action messages stacks up against market practice guidelines.
Recognizing a Need for Mutual Recognition
A transatlantic securities market could soon become a reality as regulators and trade groups alike continue to push the concept of cross-border cooperation.
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