Regulations 

Opinions

  • Risk Mitigation Lies in Diversity
    In response to The Counterparty Risk Management Policy Group's report issued last week, Philippe Carrel, EVP of Risk Management at Thomson Reuters, comments on the report in which the leading banks pledge reforms to limit their own risk.
  • Regulating the Financial Services Industry Is a Balancing Act
    Getting regulation right is like balancing on a knife's edge - tilt too far one way and the industry is hamstrung; tilt too far the other way and reduce the trust that is required for a functioning capital market.
  • Much Ado About Nothing
    Sarbanes-Oxley is only partly to blame for the decline in foreign companies listing their stock on U.S. markets.
  • The Benefits of Competition
    The exchanges' battle for market data revenue should lead to innovation.
  • Reg NMS Turns 1
    This month marks the one-year anniversary of the passage of Regulation NMS, which was approved by the Securities and Exchange Commission on April 6, 2005, paving the way for a more interactive, electronic marketplace.

Research

  • Ramifications of Reg NMS and MiFID: More Sources of Data and Greater Volume of Quote Data
    The European Union's Markets in Financial Instruments Directive (MiFID) and the United States' Regulation National Market System (Reg NMS), scheduled to be final in the fourth quarter of 2007, will drastically change the way the securities industry handles market data.
  • Regulation NMS: Preparing for Impact
    As we approach the Regulation NMS implementation deadline, brokers and exchanges are faced with the challenge of utilizing technology in order to become compliant while adapting to the evolving marketplace.
  • Reg NMS vs. MiFID
    Regulation National Market System (Reg NMS) and the Markets in Financial Instruments Directive (MiFID) represent major changes in the structure of the markets for equities trading in the U.S. and European Union (EU) respectively.


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