Here is our updated “Who Does What…. ” publication. Ernest E. Badway – Who Does What: Broker Dealers | Registered Investment Advisers | Commodities/Futures Entities – Updated 2023 (foxrothschild.com)
Continue Reading Updated 2023– Who Does What: Broker Dealers | Registered Investment Advisers | Commodities/Futures EntitiesSecurities Exchanges
Takeaways from the NYSE glitch
Earlier this week, the New York Stock Exchange halted trading for nearly four hours due to a technical “glitch”. While the shutdown caused a lot of uncertainty among investors and…
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SRO STATUS TO BE EXAMINED
One SEC commissioner is pushing for a comprehensive review of the structure and regulatory regime of United States financial markets, including SROs.
The SEC is serious about looking comprehensively at…
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What Are the Problems with Ticks and Minimum Spreads?
A senior Congressman has indicated that he wants to see a wide-ranging pilot program to examine different minimum spreads for different stocks. He believes that such a program would allow the SEC…
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Are Exchanges In The SEC’s Crosshairs?
Statements by certain United States Senators have indicated that they hope the SEC is cracking down on and scrutinizing the activities of the national securities exchanges and associations.
Such statements were made…