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Breaking News
NYSE Fines Firms for Trade-Ahead Audit Trail Violations
May 8, 2008 - NYSE Regulation has fined a handful of Wall Street’s largest firms for not providing data about orders sent to the New York Stock Exchange floor.
Senate Committee Tells SEC to Ramp Up Supervision of Investment Banks
May 7, 2008 - Senate Banking Committee member Charles Schumer says that a “stronger, more unified regulator” is needed to police investment banks.
SmartPool Seeks New Investors, Selects Clearers
May 7, 2008 - The SmartPool dark book being built by NYSE Euronext, HSBC and BNP Paribas has selected two clearing agents and is in discussions with potential investors.
European Trade Group Issues Agency Lending Disclosure Model
May 6, 2008 - The International Securities Lending Association has issued guidelines on how European lending agents should send borrowers information on the underlying lenders of securities.
Wall Street Systems Buys Aleri Banking Unit
April 30, 2008 - Wall Street Systems has agreed to buy the wholesale banking software division of event processing technology vendor Aleri.
Omgeo Wins SEC Approval for TradeSuite E-Confirms
April 29, 2008 - Omgeo has received a no-action letter from the SEC that will let broker-dealer clients of Omgeo TradeSuite eliminate paper-based disclosures associated with trade confirmations.
Tokyo Taps NYSE for Options Platform as Trading Technology Competition Heats Up
April 28, 2008 - The Tokyo Stock Exchange, historically reliant on technology from Japanese providers, will implement an options platform from NYSE.
Financial Firms Ahead of Business Continuity Curve, Says Survey
April 28, 2008 - A U.K. survey shows that financial services employees better understand their companies’ business continuity planning strategies.
Fidessa Unveils Liquidity-Access Strategy
April 23, 2008 - Fidessa says its new initiative will allow buy- and sell-side firms to better manage order flow and access liquidity in a fragmented European market.
SEC Official Offers Preview of Rule 12b-1 Overhaul
April 23, 2008 - An official in the agency’s division of investment management has provided a preview of the forthcoming reform package.
Pair of Executives Leave Fidelity's National Financial
April 22, 2008 - National Financial Services' national sales manager and head of Northeast regional sales have left the firm.
Apama, Detica Partnership Produces Market Surveillance Platform
April 22, 2008 - Detica and Progress Software’s Apama have teamed on a real-time surveillance platform for exchanges, alternative trading systems and trading desks.
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