SEC Survey on Electronic Trading Faces May 25 Deadline
- Congressmen to SEC: Dealers Should Track Outages. Hume, Lynn // Bond Buyer;06/09/2000, Vol. 332 Issue 30909, p5
Reports on the call for the United States Securities and Exchange Commission to require broker-dealers with online trading systems to keep records of their delays and outages. Disclosure of the potential for disruptions on the Web sites; Information on risk disclosure.
- The ISE's Cookie-Cutter Approach. // Traders Magazine;Feb2003, Vol. 16 Issue 207, p18
Reports that the United States Securities and Exchange Commission (SEC) has adopted the auto-execution rule which requires that auto-execution capabilities must be provided to all participants of the SEC electronic options market. Purpose of the rule.
- SEC report signals greater focus on systems capacity. Hendrickson, Mark // Securities Industry News;11/29/99, Vol. 11 Issue 47, p26
Discusses the United States Securities and Exchange Commission's recommendations for improving online trading. Interoperability complications posed by the development of customer-tailored technology; Requirement of broker-dealers to maintain and periodically test contingency plans; Disclosure...
- Investment firms put stock into the Internet. Rodda, Kelli // Business Press;9/06/96, Vol. 9 Issue 19, p3
Reports on the warning issued by the Securities and Exchange Commission (SEC) to investment firms that have plans of buying stocks through the Internet. Opportunities available on the Internet; Dangers and pitfalls associated with electronic trading; Application of all SEC rules to electronic...
- SEC warns investors about risks of on-line trading. // American Banker;1/29/1999, Vol. 164 Issue 19, p8
Focuses on the caution given for electronic trading of securities in the United States by the Securities & Exchange Commission (SEC) Chairman Arthur Levitt.
- Comments sought on SEC ATS rules. Hume, Lynn Stevens // Bond Buyer;05/01/98, Vol. 324 Issue 30384, p6
Reports that the US Securities and Exchange Commission has set a July 28, 1998 deadline for public comments on proposed rules that would create a regulatory framework for screen-based electronic trading systems. Background on the proposed rules.
- MuniAuction Becomes ATS To Answer SEC's Concerns. Hume, Lynne // Bond Buyer;04/03/2000, Vol. 332 Issue 30862, p1
Reports on MuniAuction Inc.'s filing with the United States Securities and Exchange Commission to become an alternative trading system. Rules on electronic trading system; Quarterly volume reports needed.
- New Capacity Rule for Online Brokers? // Traders Magazine;Mar2001, Vol. 14 Issue 179, p10
Focuses on the report `Examinations of Broker Dealers Offering Online Trading: Summary of Findings and Recommendations,' which reviewed the findings of the United States Securities and Exchange Commission regarding online trading. Result of the report; Online broker dealer practices cited in...
- SEC Still Needs to Untangle Web Issues, According to Bond Lawyers. Hume, Lynn // Bond Buyer;02/07/2001, Vol. 335 Issue 31072, p1
Reports on the refusal of the United States Securities and Exchange Commission to publish additional written guidance on electronic disclosure that would settle ongoing controversies over the issue of republication and hyperlinks. Stand of the National Association of Bond Lawyers on electronic...