NYIF Partners with Exchange Experts to Advise Emerging and Frontier Markets January 19, 2016 09:15 AM Eastern Standard Time NEW YORK--(BUSINESS WIRE)--The New York Institute of Finance announced today that it is partnering with the Global Markets Advisory Group to offer comprehensive consulting services to financial regulators, exchange operators and market participants in emerging and [...]
Last week FINRA published its 2016 Regulatory and Examination Priorities Letter. As in past years, FINRA identified recurring issues as well as new areas that broker-dealers should focus on as part of their regulatory due diligence. This year’s letter is no exception, as examiners will assess supervision, risk management and controls in areas that include: [...]
I thought it would be helpful to explain the opening process at the NYSE as it relates to Rule 48, Rule 15, and Rule 123 (d). These are rules which govern the opening of stocks with respect to dislocation from the last sale and the dissemination of that information. They were enacted to provide transparency [...]