BATS Sneaking up on Big Boys
- Consolidation of the Office of the Executive Director With the Office of the Chief Operating Officer. Murphy, Elizabeth M. // Federal Register (National Archives & Records Service, Office of;9/29/2011, Vol. 76 Issue 189, p60370
The article presents a final rule issued by the U.S Securities and Exchange Commission on the consolidation of its Office of the Executive Director with the Office of the Chief Operating Officer. The final rule includes amendments to replace references to the Executive Director with references...
- ECNs Want More Time to Get Off Nasdaq. Bang, Kim // Traders Magazine;Jul2006, Vol. 19 Issue 255, p12
The article discusses the petition of the Electronics Communication Network (ECN) to the U.S. Securities and Exchange Commission to consider more time before it will approve the changes made by the National Association of Securities Dealers Automated Quotations (Nasdaq) such as the new ECN...
- Mutual Fund Comparisons Available on SEC Site. // CPA Wealth Provider;Jul2008, p4
The article reports on the launch of "The Mutual Reader" Internet web page available on the website gov/xbrl of the U.S. Securities & Exchange Commission. The said page is designed to examine and compare interactive information such as investment objectives and strategies as well as histroical...
- SEC's Access Rule Could Split High Frequency Market. Hintze, John // Securities Industry News;1/25/2010, Vol. 22 Issue 2, p5
The article discusses skepticism on the U.S. Securities and Exchange Commission's (SEC) Rule 15d3-5, requiring pre-trade checks but giving broker-dealers flexibility to adjust market-access proposal.
- Citi, Freddie May Join 'Subpenny' Test. // American Banker;5/4/2010, Vol. 175 Issue 68, p16
The article discusses a request by financial firms including Citigroup Inc. and Freddie Mac that the U.S. Securities and Exchange Commission (SEC) allow them to join a pilot test which would enable them to trade select securities in increments of less than one cent.
- SEC Analysis Methodology and Categories. // Public Accounting Report;3/15/2010, Vol. 34 Issue 5, p2
The article reports on the analysis made by the U.S. Securities and Exchange Commission (SEC) for the registrants who terminated or violated the securities registration or not filed their documents since March 1, 2009.
- ADS Media Group, Inc., American Enterprise Development Corp., and Arcland Energy Corp.; Order of Suspension of Trading. Peterson, Jill M. // Federal Register (National Archives & Records Service, Office of;10/24/2011, Vol. 76 Issue 205, p65768
The article presents a notice from the U.S. Securities and Exchange Commission (SEC) about the suspension of trading involving ADS Media Group Inc., American Enterprise Development Corp. and Arcland Energy Corp.
- Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants. Murphy, Elizabeth M. // Federal Register (National Archives & Records Service, Office of;10/24/2011, Vol. 76 Issue 205, p65784
The article focuses on the proposed rules of the U.S. Securities and Exchange Commission (SEC) about the registration of security-based swap dealers.
- SEC Extends Rules on Discipline, Fair Dealing to Mimi Advisers. ACKERMAN, ANDREW // Bond Buyer;12/27/2010, Vol. 374 Issue 33439, p7
The article reports on the approval made by the Securities and Exchange Commission (SEC) concerning the Municipal Securities Rulemaking Board proposal which is to extend its Rules G-17 on fair dealing and G-5 on disciplinary actions to municipal advisers in the U.S.