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News & Commentary
Content tagged with Compliance posted in June 2009
Madoff Sentenced to 150 Years in Prison
News  |  6/29/2009  | 
Bernard Madoff was sentenced to 150 years in prison today by U.S. District Judge Denny Chin for his massive financial fraud.
Jordan & Jordan Trade Analytics Test Short Sale Proposals
News  |  6/23/2009  | 
The Jordan & Jordan comment letter extended an open offer to the SEC to request additional analysis of historical data to further support its rulemaking efforts and impact assessment.
CaseCentral Extends eDiscovery Review Platform with Integrated Early Case Assessment
News  |  6/23/2009  | 
CaseCentral's new platform enables clients to start with ECA and extend through analysis, review, production and post-production re-use, facilitating collaborative assessments of new case merits and liabilities.
New Financial Regulatory Reform Proposal: 'It's in There'
Commentary  |  6/22/2009  | 
The Obama administration's new regulatory reform proposal -- which covers everything financial -- is divided into five major categories: firm supervision and regulation, financial market supervision, consumer protection, governmental crisis management tools, and increased global regulatory cooperation.
E.U. Drafts New Regulatory System
News  |  6/19/2009  | 
E.U. leaders are backing a draft for a new regulatory system which includes a systemic risk board to spot credit problems before they become a danger to the financial system.
The Urgency and High Price of New Cost Basis Reporting Law
News  |  6/17/2009  | 
Even while many firms are unaware of new cost basis reporting requirements, the deadline for compliance is fast approaching -- and the cost to comply won't be cheap.
The Most Sweeping Changes to Financial Regulation Since the 1930s
News  |  6/17/2009  | 
President Obama is focusing on the next step to fix the financial system: proposing new regulations that are intended to help consumers and put limits on bankers.
FlexTrade Proposes Technology Solution for Naked Short Selling in Letter to SEC
News  |  6/15/2009  | 
Lenders of securities should establish real-time databases of stock eligible for borrowing using FIX tagging, advises FlexTrade's CEO.
Kaplan Develops Solution To Meet New FINRA Regulations
News  |  6/15/2009  | 
Under the new regulation, firms are required to provide responses to the new disclosure questions for existing registered representatives by mid-November 2009.
Vanity Fair, Madoff and the Wall Street & Tech Connection
News  |  6/10/2009  | 
It's not very often that I read my Vanity Fair and personally recognize a name or even know anyone quoted in the articles. The actors and famous types, of course, but not so much anyone in my circle. But this past weekend as I hunkered down to read about cover guy Johnny Depp and then the Madoff sons I came across a very familiar name. The article, "Did the Madoff Sons Know?" in the July issue explo
Commentary: One Financial Regulator to Rule Them All
News  |  6/4/2009  | 
Who should regulate our financial system? Commentator Robert Reich, argues there should be one financial regulator to prevent the kind of fiscal meltdown that sent the U.S. into this recession.
Nasdaq Rolls Out Flash Orders to Market Participants As Debate Stirs
News  |  6/2/2009  | 
NYSE Euronext Fires Off Letter to SEC As Practice Spreads to Multiple Market Centers
The Odds of Exchange Migration
Commentary  |  6/2/2009  | 
Though it may seem like a quick fix, migrating OTC products to exchanges is a process fraught with dangers and problems all its own.

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