SEC Adopts Large Trader Reporting System
(Journal of Securities Law, Regulation & Compliance . Oct2010, Vol. 3 Issue 4, p294-306. 13p.) - This paper analyses the recent volley of market structure initiatives issued by the Securities and Exchange Coin miss ion (SEC) since time autumn of 2009. It observes that these initiatives are a natural outgrowth of the SEC'S adoption tinder the Securities Exchange Act of 1934 of Regulation ATS in 1998 and Regulation NMS in 2005 and time electronic market structure that has resulted from these rules.
"Fraud in Markup: An Unusual SEC Decision," The Review of Securities & Commodities Regulation.
"Key Components of an Effective Compliance Program for Broker-Dealers Deemed Trading Centres Under Regulation NMS," Journal of Securities Compliance.