FINRA

Divided U.S., Not Covid, Is the Biggest Risk to World in 2021, Survey Finds; EU share trading flees London on first day after full Brexit

by Matt Raebel | Jan 4, 2021

Divided U.S., Not Covid, Is the Biggest Risk to World in 2021, Survey Finds; EU share trading flees London on first day after full Brexit

Retail trading boom spills over into fine wine market; US banks rack up $200bn in fines and penalties over 20 years

by Matt Raebel | Dec 24, 2020

Retail trading boom spills over into fine wine market; US banks rack up $200bn in fines and penalties over 20 years

Hedge Funds Are Highly Invested in Stocks; Yen to USD: Japan Retail Traders Set Record in 2020 Blitz

by Matt Raebel | Dec 15, 2020

Hedge Funds Are Highly Invested in Stocks; Yen to USD: Japan Retail Traders Set Record in 2020 Blitz

SEC Approves Plan to Bring More Detailed Stock-Market Data to Public; Citi Trial Shows Chain of Gaffes Leading to $900 Million Blunder

by Matt Raebel | Dec 10, 2020

SEC Approves Plan to Bring More Detailed Stock-Market Data to Public; Citi Trial Shows Chain of Gaffes Leading to $900 Million Blunder

Wall Street Dealers in Hedging Frenzy Get Blamed for Volatility; Bitcoin Options Market Suggests Investors Preparing for All-Time High

by Matt Raebel | Nov 25, 2020

Wall Street Dealers in Hedging Frenzy Get Blamed for Volatility; Bitcoin Options Market Suggests Investors Preparing for All-Time High

Covid Is Resurging, and This Time It’s Everywhere; Australian Bourse Halts Trading in Longest Outage in Decade

by Matt Raebel | Nov 16, 2020

Covid Is Resurging, and This Time It’s Everywhere; Australian Bourse Halts Trading in Longest Outage in Decade

The CryptoMarketsWiki Podcast Episode 15: Digitizing the Capital Markets

by Matt Raebel | Nov 16, 2020

Carlos Domingo is the founder of Securitize, the aptly-named blockchain company that securitizes assets in the form of digital tokens. The company recently signed a deal with an SEC and FINRA-registered broker-dealer and ATS called Distributed Technology Markets, LLC, and seems on track to become an end-to-end digital securities platform that offers both securities issuance and trading through secondary markets.

VIX Hits Seven-Week High Even as Bets Jump on Post-Election Calm; Covid Fear Is Back and Driving Markets Again

by Matt Raebel | Oct 27, 2020

VIX Hits Seven-Week High Even as Bets Jump on Post-Election Calm; Covid Fear Is Back and Driving Markets Again

Harris Kay Joins Murphy & McGonigle

by John Lothian | Oct 22, 2020

The law firm of Murphy & McGonigle has opened a Chicago office staffed by industry veteran Harris Kay. Kay worked with the principals of M&M at a previous firm, so this is a coming home of sorts.

Cloud Stock Mania Comes With Eerie Echoes of Dot-Com Boom and Bust; A Columnist Makes Sense of Wall Street Like None Other

by Matt Raebel | Oct 8, 2020

Cloud Stock Mania Comes With Eerie Echoes of Dot-Com Boom and Bust; A Columnist Makes Sense of Wall Street Like None Other

The Race to Replace the City of London Begins; JPMorgan Probe Revived by Regulators’ Data Mining

by Matt Raebel | Oct 5, 2020

The Race to Replace the City of London Begins; JPMorgan Probe Revived by Regulators’ Data Mining

New Retail Interest Spurs Renewed Focus on Investor Education

by Suzanne Cosgrove | Sep 15, 2020

Equity markets are seeing an influx of new retail interest, with up to 25 percent of market activity executed by retail investors on peak days this year, compared with about 10 percent in 2019, said John Zecca, Nasdaq's executive vice president and chief legal and...

US regulator fines Citadel Securities over trading breach; New York Sees Push to Tax Stock Trades With Revenue in Free Fall

by Matt Raebel | Jul 21, 2020

US regulator fines Citadel Securities over trading breach; New York Sees Push to Tax Stock Trades With Revenue in Free Fall

Dr. Thomas Book becomes the new CEO of the Frankfurt Stock Exchange

by Jeff Bergstrom | Jul 1, 2020

First Read Hits & Takes By JLN Staff Congratulations to Dr. Thomas Book on his promotion to being the new CEO of the Frankfurt Stock Exchange, which really means he is now also responsible for the cash markets and market data. Michael Peters is an excellent choice...