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 EntitiesEarlier 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
Continue Reading Takeaways from the NYSE glitch
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
Continue Reading SRO STATUS TO BE EXAMINED
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
Continue Reading What Are the Problems with Ticks and Minimum Spreads?
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