Article Results (Showing 1 - 10 of 957) RSS Alert
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FINRA Targets OTC's Quote Rule.(Rules & Regs)(Financial Industry Regulatory Authority checks on over the counter market)
Byline: Peter Chapman The Financial Industry Regulatory Authority, to the surprise of many industry pros, is proposing the elimination of the...
Traders, 02/01/09 by Chapman, Peter · More from publication -
Spoofing on FINRA Agenda.(Financial Industry Regulatory Authority)(Brief article)
Byline: Peter Chapman Spoofing is back. Bad traders are seeking profits by manipulating quotes of illiquid securities through "spoofing," a...
Traders, 12/01/08 by Chapman, Peter · More from publication -
Erroneous Trades Policy in Works.(Inside Trading)
Byline: Peter Chapman As Traders Magazine was going to press, a working group of exchange and ECN officials was trying to hammer out a...
Traders, 12/01/08 by Chapman, Peter · More from publication -
ARCA Adds Depth-of-Book Routing.(Inside Trading)
Byline: Peter Chapman NYSE Arca, trying to improve the quality of the fills on those orders it routes out, no longer limits its routing to...
Traders, 12/01/08 by Chapman, Peter · More from publication -
Naked Shorting Under Scrutiny.(Regs & Rules)
Byline: Peter Chapman Regulators are clamping down on broker-dealers that violate naked short-sale rules. Both New York Stock Exchange...
Traders, 11/01/08 by Chapman, Peter · More from publication -
Aussie Mart Chants 'USA' with Pact.(Australian Stock Exchange gets business from USA)
Byline: Peter Chapman The Australian Stock Exchange is bullish on mutual recognition. Following the signing in August of the historic...
Traders, 10/01/08 by Chapman, Peter · More from publication -
SEC May Bring Back Price Tests
Five years ago, when the Securities and Exchange Commission was crafting Regulation SHO and pondering the fate of the industry's price-test rules,...
Traders Magazine, 09/01/08 by Peter Chapman · More from publication -
New Guidelines Under Microscope
The Securities and Exchange Commission's prescription for what ails mutual fund board members when it comes to evaluating their advisers' trading...
Traders Magazine, 09/01/08 by Peter Chapman · More from publication -
Nasdaq Beats NYSE to the Punch
Last November, two New York Stock Exchange specialist firms, citing poor economics, gave up their rights to trade their assigned stocks. For...
Traders Magazine, 09/01/08 by Peter Chapman · More from publication -
Not Guilty
In a federal court in Trenton, N.J., this June, Kenny Pasternak, former chief executive of Knight Trading Group, now Knight Capital Group, and John...
Traders Magazine, 09/01/08 by Peter Chapman · More from publication
