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U.S. Regulators Target Exchanges

Financial regulators are taking a harder line on exchanges amid concerns over their ability to police the markets they operate, as the SEC prepares to hit one with a record penalty.The deeper scrutiny has prompted some exchange officials to push back against a new regulatory stance that they say leaves them more vulnerable to potential penalties and sanctions.The tussle goes to the heart of the unusual dual role played by the biggest U.S. exchanges. They profit from the trading business they attract and the vast volumes of data generated by that trading. They also act as regulators of the same trading.In a sign of the more aggressive regulatory approach, the U.S. Securities and Exchange Commission has been putting the finishing touches on a settlement with Nasdaq OMX Group Inc. over the handling of the Facebook Inc. public offering, according to people involved in the private negotiations. Nasdaq is expected to pay a penalty of about $10 million, the people say. That would be the bigge...

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  1. NYSE prepares disaster backup plan: WSJ

    The New York Stock Exchange is readying plans to be able to operate without human traders in case another disaster, such as Superstorm Sandy, forces the shutdown of ...

  2. SEC Proposes Rule to Snuff Out Market Glitches

    U.S. securities regulators proposed new rules on Thursday that would require exchanges, clearing agencies and other kinds of trading platforms to be better prepared ...

  3. Exchanges, Tech Companies Jockey to Build 'Audit Trail'

    More than two dozen stock exchanges and technology companies may vie for the task of building an electronic system to monitor all U.S. stock trading, according to a ...

  4. Financial markets oversight plan draws 31 expected bidders

    Thirty-one companies have indicated they plan to submit bids to build and operate a comprehensive system to track equity and options trading activity, a regulatory r...

  5. Industry debates test program for small-cap stock pricing

    Stock exchanges and financial industry executives on Tuesday urged U.S. securities regulators to back a program to test a change in the way shares are priced, in a b...

  6. BATS Revises Estimates on System Errors

    BATS Global Markets Inc. on Friday revised estimates on the impact of system errors that went undetected for four years, saying the problems caused a small fraction ...

  7. NYSE Reveals Brief Order Routing Hiccup

    New York Stock Exchange parent NYSE Euronext (NYSE:NYX) said it experienced a brief routing problem Wednesday morning that may have caused some trades to be executed...

  8. S&P 500 Notches Five-Year High

    FOX Business: Capitalism Lives HereA batch of much better-than-expected data from China, the world's second-biggest economy, sent stocks climbing for the second day ...

  9. Latest Whiff at BATS Adds to Headaches

    Just nine months ago BATS Global Markets was barreling towards an initial public offering that would have allowed the upstart exchange operator to invest new capital...

  10. China Export Data Lift Futures

    FOX Business: Capitalism Lives HereA round of much better-than-expected export data from China helped keep the positive momentum going on Wall Street despite mildly ...

  11. Stocks Rise Amid Economic Optimism

    FOX Business: Capitalism Lives HereStrong trade data from China, the world's No.2 economy, sent stocks rising for the second session in a row Thursday.Today's Market...

  12. BATS Says 'System Issue' Led to Pricing Problems

    Stock-exchange operator BATS Global Markets Inc. said Wednesday that a "system issue" allowed hundreds of thousands of transactions in a four-year period to be execu...

  1. ATS Brasil to Seek Stock Exchange License

    A new Brazilian stock exchange aims to sign as many as eight local and international banks and money-management firms in coming weeks before seeking authorization to...

  2. CBOE Weighs Future of Regulatory Unit

    The parent of the Chicago Board Options Exchange is considering whether to separate out its regulatory division in the wake of a continuing federal probe into potent...

  3. U.S. Exchanges Call for New Dark Pool Curbs

    The three largest U.S. stock exchanges have called on market regulators to formulate tougher rules for private share-trading venues, including so-called "dark pools....

  4. U.S. stock exchanges call for new rules on "dark pools"

    The chief executives of three major U.S. stock exchanges have called on regulators to take steps to reduce trading taking place away from public exchanges, saying th...

  5. Exchange CEOs meet regulators on dark pools, internalizers

    The chief executives of three of the top exchanges met with regulators in Washington DC on Tuesday to express concerns about the negative effects associated with the...

  6. NYSE Backs Overseas Dark Pool Curbs

    NYSE Euronext (NYX) has raised concerns that U.S. capital markets could become less attractive to investors as countries including Australia and Canada press ahead w...

  7. European Clearers Announce Merger Plan

    Europe's two largest cash equities clearinghouses on Thursday announced plans to merge and draw in a new U.S. partner in an effort to compete in a market struggling ...

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