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High Frequency Trading European Union

Robins Kaplan LLP

Your Daily Dose of Financial News

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The US government is officially greenlighting fintech, with both the OCC and the Treasury Department issuing statements yesterday in support of the “emerging corner of the financial sector.” For the OCC, that means welcoming...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week In Review

Financial Industry Developments - SEC Adopts T+2 Settlement Cycle for Securities Transactions - On March 22, 2017, the Securities and Exchange Commission (SEC) adopted an amendment to Rule 15c6-1(a), shortening the...more

Robins Kaplan LLP

Your Daily Dose of Financial News

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Ratings Agency Moody’s Corp. has agreed to pay roughly $864 million to resolve federal and state claims that it gave juiced ratings to risky MBS in the run-up to the financial crisis. Half of the total will end up in DOJ...more

WilmerHale

The Global Implications of the EU's New Civil Market Abuse Regime

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On 3 July 2016 the EU Market Abuse Regulations (“MAR”) will come into force, replacing the previous civil market abuse regime as set out in the Market Abuse Directive (“MAD”). Given its extra-territorial effect, the changes...more

Katten Muchin Rosenman LLP

Bridging the Week - May 2016

FINRA Hands Out Report Cards on Potential Spoofing and Layering: The Financial Industry Regulatory Authority said that it issued its first cross-market equities report cards aimed at helping member firms identify potential...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - Volume XI, Issue 16

SEC/CORPORATE SEC Releases Registration Fee Estimator On April 18, the Securities and Exchange Commission announced the release of an online tool that will assist companies in calculating registration fees relating to...more

Katten Muchin Rosenman LLP

Bridging the Week - August 2015 #5

Charles Schwab Fined US $2 Million by FINRA for Net Capital Deficiencies: Charles Schwab & Co. agreed to pay US $2 million to the Financial Industry Regulatory Authority to resolve allegations that it had net capital...more

Katten Muchin Rosenman LLP

ESMA Publishes Report on High-Frequency Trading Activity in EU Equity Markets

On December 17, the European Securities and Markets Authority (ESMA) published a report on high-frequency trading (HFT) in EU equity markets....more

Dorsey & Whitney LLP

This Week In Securities Litigation (Week ending June 20, 2014)

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High speed trading and conflict of interest in the market place were the topics of the week. Two Senate committees held hearings on the issues which were the focus of the Michael Lewis book Flash Boys and its claim that the...more

Dechert LLP

Financial Services Quarterly Report - Second Quarter 2013

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In This Issue: - UK: New Regulators; New Powers - So You Want to be a U.S. Mutual Fund Manager - The New German Rules on High Frequency Trading - Marketing and Distributing Your Fund in the Middle East:...more

Dechert LLP

Financial Services Quarterly Report - Second Quarter 2013: The New German Rules on High Frequency Trading

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The German Federal Parliament adopted a bill on February 28, 2013, setting forth detailed rules and provisions dealing with so-called “high frequency trading” (the “HFT Rules”)....more

Orrick - Finance 20/20

BaFin Updates HFT Legislation Guidance

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BaFin, the German financial regulator, updated guidance on its website in clarification of several issues concerning the Hochfrequenzhandelsgesetz (High Frequency Trading Act) which came into force on May 15....more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week In Review - March 4, 2013

In This Issue: *Financial Industry Developments - Amendments to Fed and OCC Foreclosure Consent Orders - Fed Proposed Rule on Systemically Important Financial Market Utilities - Rating Agency...more

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