Posts filed under “Regulation”

How Spoofing Works

Source: WSJ

Category: Markets, Regulation, Technology, Trading

The Fiduciary Standard is Coming!

In 2011, the Securities and Exchange Commission published a study, mandated by the Dodd-Frank Act, which concluded that all financial advisers and stock brokers should be placed under “a uniform fiduciary standard.” Basically this meant that brokers and advisers would have an obligation to put the interests of clients first and must disclose any conflicts of…Read More

Category: Investing, Legal, Regulation

Survey Says…

Joseph Saluzzi ( and Sal L. Arnuk ( are co-heads of the equity trading desk at Themis Trading LLC (, an independent, no conflict agency brokerage firm specializing in trading listed and OTC equities for institutions. Prior to founding Themis, Sal and Joe worked for more than 10 years at Instinet Corporation, pioneers in the…Read More

Category: Markets, Regulation, Think Tank, Trading

Interactions among high-frequency traders

Category: Regulation, Think Tank, Trading

Global liquidity regulation – Why did it take so long?

Category: Regulation, Think Tank

Category: Bailouts, Federal Reserve, Regulation, Think Tank

The Impact of Liquidity Regulation on Banks

Category: Credit, Regulation, Think Tank

Zombie Ideas? Blame the Billionaires…

  “We are in the business of making mistakes. The only difference between the winners and the losers is that the winners make small mistakes, while the losers make big mistakes.” -Ned Davis   I began my career in finance on a trading desk. You learn some things very early on in that sort of…Read More

Category: Bad Math, Philosophy, Politics, Really, really bad calls, Regulation

State Street CIO Conference

Interesting day as I am scheduled to open the State Street CIO summit by  interviewing Arthur Levitt, former chairman of the SEC, right about . . . NOW. I will post an update if I can

Category: Investing, Regulation

MiB: FDIC Chairman Sheila Bair

This week’s Masters in Business Radio show is on at 10:00 am and 6:00 pm on Bloomberg Radio 1130AM and Siriux XM 119. Our guest is former FDIC chairman Sheila Bair. You can also find at Bairblog. Her book on her time at the FDIC and the financial crisis is Bull by the Horns: Fighting…Read More

Category: Media, Podcast, Politics, Regulation