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Regulatory Research & Whitepapers

Whitepaper: Single Stock Circuit Breaker: What Does it Mean for Institutional Order Flow?

17 August 2010

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Equities Archive, Regulatory Archive
U.S. Senator Kaufman on Market Structure: Letter to SEC with Attachment

16 August 2010

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Regulatory Archive
Comments on: Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues

12 August 2010

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Equities Archive, Derivatives Archive, Regulatory Archive
CS AES: Short Selling - What's Going On in Europe?

05 August 2010

This Credit Suisse AES analysis suggests Germany's ban on naked short selling may have resulted in a shift in liquidi... Continue...

Equities Archive, Derivatives Archive, Regulatory Archive
S&P Indices: Market Attributes - July 2010 Fixed Income

05 August 2010

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Regulatory Archive

Recent Regulatory Research

08/02/2010

E&Y: Business Risk Report 2010: The Top 10 Risks for Business (Ernst & Young)

07/30/2010

Canadian Market Microstructure Review Second Quarter, 2010: Have Some New HFT Strategies Come to Town? (ITG Canada, Alison Crosthwait)

07/21/2010

SEC Proposal: Mutual Fund Distribution Fees; Confirmations (Securities and Exchange Commission)
Foley and Lardner Analysis: Implications of the Financial Reform Legislation for Derivatives Activities (Foley and Lardner )

07/20/2010

Whitepaper: The Missoni Tapes: Navigating Post-MiFID Liquidity - What the Buy Side Really Thinks (Fidessa, Steve Grob)

07/14/2010

Concept Release on the US Proxy System (Securities and Exchange Commission)

07/10/2010

Whitepaper: AirPatrol: Wireless Devices on Trading Desks - Regulatory Compliance (AirPatrol Corporation, Bradley Rotter)

07/08/2010

Re-open for Public Comment: Elimination of Flash Order Exception from Rule 602 of Regulation NMS (Securities and Exchange Commission)

07/02/2010

MiFID II: What’s Up For Grabs? (Credit Suisse, Mark Buchanan)

07/01/2010

OCC’s Quarterly Report on Bank Trading and Derivatives Activities First Quarter 2010 (OCC)
House and Senate Committee Bill: Financial Reform (Dodd-Frank Wall Street Reform Bill )

06/25/2010

Public Report by the Division of Clearing and Intermediary Oversight on the Registration Program of the National Futures Association (CFTC)

06/24/2010

Undisplayed Liquidity: Bright Trading's Comments on June 2 SEC Roundtable (Bright Trading, LLC )

06/22/2010

Statement of Craig S Donohue, CEO of CME Group, Before the Joint CFTC-SEC Committee on Emerging Regulatory Issues (CME Group, Craig Donohue, CEO)

06/17/2010

SEC Public Comment Request - Investment Company Advertising: Target Date Retirement Fund Names and Marketing (SEC)
The Alternative Emerging Market: Equity Swaps and Synthetic Prime (TABB Group, Will Rhode)

06/03/2010

Chairman Gary Gensler speaks at Sandler O’Neill Global Exchange and Brokerage Conference on Derivatives Reform (CFTC)

05/28/2010

05/24/2010

CFTC Joint Presentation for Meeting of the Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues (CFTC)

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Larry Tabb's Thoughts on Sen. Ka...

Larry Tabb, founder and CEO of TABB Group, further analyzes Sen. Ted Kaufman's market s...
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Analyzing Kaufman's Letter to Sc...

Larry Tabb, founder and CEO of TABB Group, analyzes the market structure issues that Se...
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FinReg: The End of the Beginning

Adam Sussman and Kevin McPartland of TABB Group discuss immediate impact of the financi...
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