Broker-dealer
SEC publishes its own Basel II framework
The US Securities and Exchange Commission (SEC) has finally posted its proposals for its own Basel II framework for broker-dealers and investment bank holding companies on its website.
The SEC's E-mail Crackdown
Broker-dealers say vague wording in SEC rule 17a-4 will make compliance with the rule unnecessarily costly and burdensome.
Blurring the lines
A turf war between Atlanta’s IntercontinentalExchange and the New York Mercantile Exchange reveals a shift in the traditional role of over-the-counter brokers and exchanges, finds Catherine Lacoursière
