TITLE

Shakeup at Division of Trading and Markets

AUTHOR(S)
Hintze, John
PUB. DATE
April 2008
SOURCE
Securities Industry News;4/14/2008, Vol. 20 Issue 15, p1
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
The article deals with the reorganization of the division of trading and markets of the U.S. Securities and Exchange Commission (SEC) in 2008. As reported, the SEC is searching for another deputy director to help Robert Colby and Erik Sirri, deputy directors of the division since 1993 and 2006, respectively. The article states that Catherine McGuire, chief counsel for the same division has been appointed counsel to the director in March 2008. Accordingly, the rules-based approach is being practiced.
ACCESSION #
31745451

 

Related Articles

  • Economists to head SEC market regulation.  // Accounting Today;9/18/2006, Vol. 20 Issue 17, p39 

    The article reports on the appointment of Erik R. Sirri as the director of market regulation at the U.S. Securities and Exchange Commission (SEC). He was a chief economist at SEC from 1996 to 1999. Sirri is a member of the economic advisory board of the Nasdaq Stock market and the board of the...

  • SEC's Eric Sirri Will Return to Academia. Ackerman, Andrew // Bond Buyer;4/1/2009, Vol. 368 Issue 33090, p21 

    The article reports on the decision of Erik Sirri, the director of the Securities and Exchange Commission's (SEC) division of trading and markets, to resign from his post in order to go back to the academic world in the U.S. He has presided over the SEC's regulation of securities exchanges,...

  • Dash 5 Stats May Come to Options Industry. Mehta, Nina // Traders Magazine;Dec2006, Vol. 19 Issue 261, p14 

    The article announces the possibility for options exchanges to be required to provide statistical measures of execution quality according to Erik Sirri of the U.S. Securities and Exchange Commission. Sirri explains that the commission is planning to order options exchanges to publish statistics...

  • Two Openings OK with SEC.  // Traders Magazine;Jun2008, Vol. 21 Issue 282, p8 

    The article reports on the decision of the U.S. Securities and Exchange Commission (SEC) to open two securities markets in a single stock on the two primary exchanges. SEC's Division of Trading and Markets Erik Sirri states that they chose to develop a thousands markets in terms of market...

  • SEC Watching Options Take Fees. Mehta, Nina // Traders Magazine;Jun2008, Vol. 21 Issue 282, p28 

    The article reports on the decision of the U.S. Securities and Exchange Commission to prohibit options exchanges to charge access fees over a certain limit. SEC's Division of Trading and Markets director Erik Sirri explains that if the fee crosses the increment, it limits effectively at $1 per...

  • SEC to Options Exchanges: Dash 5 Now!  // Traders Magazine;Apr2008, Vol. 21 Issue 279, p16 

    The article reports that the Securities and Exchange Commission (SEC) has been losing patience given the failure of the six options exchanges to implement immediately a plan to publish SEC Rule 605 statistics in the U.S. The rule is aimed at detailing execution quality of six option exchanges....

  • SEC Warns Brokers on Dark Duties. Mehta, Nina // Traders Magazine;Apr2008, Vol. 21 Issue 279, p26 

    The article reports that the Securities and Exchange Commission has advised brokers to access both displayed and non-displayed liquidity for clients in order to meet their best execution obligations in the U.S. The reminder is in response to buyside concern over the fragmentation of...

  • SEC Eyes Legislation to Help Strengthen Broker-Dealer Oversight. Hume, Lynn // Bond Buyer;5/8/2008, Vol. 364 Issue 32874, p5 

    The article reports on the initiative of the U.S. Securities and Exchange Commission (SEC) to strengthen its program that will oversee holding companies with large and well-capitalized broker-dealers in response to the downfall of Bear Sterns & Co. According to Erik Sirri, director of the SEC's...

  • SEC's New Market Reg Chief Has Dark Pools in Focus. Mehta, Nina // Traders Magazine;Nov2006, Vol. 19 Issue 260, p14 

    The article reports on the need for the Securities and Exchange Commission (SEC) to ramp up its understanding of undisplayed markets or the so-called dark liquidity pools in the U.S. Dark liquidity pools are alternative trading systems that meet orders anonymously without publishing public bids...

Share

Read the Article

Courtesy of THE LIBRARY OF VIRGINIA

Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics