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Wall Street & Technology January 6, 2006 Ivy Schmerken	Transforming the American Stock Exchange An interview with Antoine Shagoury, the American Stock Exchange's EVP and CIO on his plans for revamping Amex's trading platform, consolidating legacy platforms and making the exchange more competitive.
Wall Street & Technology October 24, 2007 Michael Topper	The Repercussion of MiFID and Reg NMS in the U.S. U.S. financial institutions must educate themselves on the difference and similarities between Reg NMS in the States and MiFID in Europe to ensure they know the rules and are able to comply.
Wall Street & Technology January 24, 2006 Greg MacSweeney	Reg NMS: Hurry Up and Wait An interview with Joe Gawronski, COO at Rosenblatt Securities, on the possibility of a delay in the implementation of both Reg NMS and NYSE's planned hybrid exchange model.
Wall Street & Technology April 22, 2005	Capital Markets: Top 10 Strategic Initiatives for 2005 Ten strategic initiatives that will drive technology spending in the capital markets in 2005.
Wall Street & Technology July 26, 2004 Ivy Schmerken	Making Markets Move The race to become a fast market may lead exchanges to join forces with ECNs.
Wall Street & Technology June 13, 2006 Greg MacSweeney	Careful What You Wish For While financial firms are relieved by the extension of full Reg NMS implementation, compliance now bumps up against the Nov. 1, 2007 deadline for the European Market in Financial Instruments Directive (MiFID). So where does that leave the industry?
Wall Street & Technology January 23, 2007 Cory Levine	NYSE Requests a Four-Week Extension of the Reg NMS Deadline Although it has been beaten to death by industry analysts and press, the importance of the changes to the U.S. securities industry spurred by Reg NMS cannot be overstated. The industry anxiously awaits full implementation of the regulation in 2007.
Investment Advisor February 2008 Papa & Marks	The New Paradigm Integrating operations and compliance.
Wall Street & Technology February 14, 2006 Ivy Schmerken	Brokerage Teams Tackle Reg NMS as Deadline Looms Many financial firms have joined industry committees to make sure that their organizations' interpretations of Regulation National Market System (Reg NMS) are in line with other market participants' views.
Wall Street & Technology April 14, 2006	Playing Catch Up On Reg NMS Broker-dealers that have not yet established a compliance strategy or begun a program design in preparation for Reg NMS are well behind the industry curve.
Wall Street & Technology January 5, 2005 Jim Middlemiss	CIO Challenge As markets make the seemingly inevitable transition to automated trading, former floor-based traders need to relearn their craft.
Wall Street & Technology July 18, 2006	With the INET Integration Underway, Nasdaq's CIO Looks to Crossing Networks Next CIO Anna Ewing has a full agenda with the INET integration, crossing networks, and technology cost reductions on tap for 2006.
Bank Technology News January 2008 Anthony Malakian	Data Processing: Forestalling a Market Data Overload Thanks to Reg NMS in the U.S. and MiFID in Europe, market data volume is on the rise and will continue to grow gangbusters. Investing in infrastructure will be a way of life.
Wall Street & Technology January 24, 2006 Peter A. Horowitz	Developments on the Horizon Seven trends that could significantly impact brokerages and their support systems: The Aging of the Investor Class... Cross-Market Competition and Consolidation... Direct Market Access... etc.
Wall Street & Technology June 28, 2005	The Next Big Thing Four analysts predict what shape they believe the future landscape of financial services technology will take.
Wall Street & Technology January 5, 2005 Steve Silberstein	Dear CIO... Question: How will Reg NMS impact broker-dealers?
Wall Street & Technology July 26, 2007 Maria Wakem	Christopher Rogers Helps Instinet Expand Globally Here, the financial firm's CTO discusses past work experiences, what's next for financial technology, 2008 initiatives, and his top three current IT projects.
Wall Street & Technology June 12, 2007 Melanie Rodier	Wall Street Firms Fine-Tune Reg NMS Compliance, Look Ahead at the Future Most financial firms have been working on boosting their order-routing capabilities and their infrastructure. But now is the time to see whether their systems can efficiently handle the data Reg NMS requires.
Wall Street & Technology January 5, 2005 Ivy Schmerken	Hybrid Markets: A Migration to the Screen With market regulation in flux, all eyes are on the New York Stock Exchange as it awaits approval from the U.S. Securities and Exchange Commission for its hybrid-market proposal.
Wall Street & Technology January 9, 2006 Larry Tabb	Seven Trends for '06 Banking and technology trends for the new year: exchange and market infrastructure redesign... the move toward low-touch services... lagging firms will be forced to rebuild their market data infrastructure... etc.
Wall Street & Technology August 22, 2005 Larry Tabb	Redefining Risk Compliance, continuity, and data and physical security will be the business and enterprise technology issues of the next decade or more.
Investment Advisor March 2006 Parks & Paris	IA Soapbox: Why We Went RIA In the RIA model, compliance issues serve to remind us that we are on the same side of the table as our client, and that staying compliant will help us forge together a long-lasting relationship.
Insurance & Technology August 12, 2005 Peggy Bresnick Kendler	The Compliance Challenge Industry experts offer opinions on what the biggest challenges carriers currently face in terms of regulatory compliance.
Wall Street & Technology May 15, 2006 Greg MacSweeney	Playing by the Rules A growing number of voices is calling for a slimming down of SOX's reach, arguing that smaller financial companies cannot afford the compliance price tag.
Wall Street & Technology March 21, 2006 Larry Tabb	Reg NMS: A Pox on All Your Houses The SEC's Reg NMS will significantly alter the way the markets and the industry as a whole operate. Instead of the market consolidation we have seen over the past few years, we are seeing a market fragmentation, as regional exchanges retool and ECNs proliferate.
Wall Street & Technology January 23, 2007 Jessica Pallay	In the Search of Liquidity: The Time Is Now Now that Reg NMS is finally here, are firms ready to access 30 or more trading venues in their search for liquidity? After a year of investment in technology, firms need to demonstrate that their systems are up to the challenge.
Wall Street & Technology January 24, 2006 Cory Levine	A New View of Risk Only now are financial firms approaching the risk associated with their technology infrastructures as a business-critical initiative with substantial bottom-line implications and devoting greater resources to their maintenance.
Wall Street & Technology April 22, 2005 Kerry Massaro	Catalyst for Change The SEC approved Reg NMS - a regulation that will transform the markets from a system centered around the NYSE as an auction market to one that is more in-line with the fast pace of technology in the world at large.
Wall Street & Technology May 15, 2006 Cory Levine	An Industry in Denial Reg NMS is set to change the foundation of the securities industry and represents the reality of a major industrywide spend. But on whose shoulders that expense will fall remains largely up in the air.
Wall Street & Technology January 23, 2007 Peter A. Horowitz	On the Offensive The mega changes brought about by globalization, demographics, new regulation and new technologies, as well as diminishing product profit margins, disintermediation and previous underinvestment, will be compounded by fundamental changes in the financial industry's structure and makeup.
Wall Street & Technology June 13, 2006	Regs Create Revenue MiFID and Reg NMS will open up new business opportunities in market data sales for the European and U.S. markets, according to a new report.
Wall Street & Technology February 4, 2005 Ivy Schmerken	Reg NMS As part of the extreme makeover of the National Market System, the SEC's Reg NMS proposes that market centers route orders to the venue that offers the best price.
Wall Street & Technology January 22, 2008 Sabatini & Smirnoff	Trade Reporting, Surveillance Key To Compliance With increased regulatory focus on protecting securities market participants, trade reporting and trade surveillance are key to providing transparency, efficiency and oversight for today's trading environment.
Bank Technology News February 2009 Brian Longe	Customer Satisfaction Begins with a Single Compliance Solution Using a single technology platform to handle all of its compliance needs allows a bank to open new accounts and complete transactions more quickly through the solution's common database structure.
Wall Street & Technology November 21, 2006 Cory Levine	Inefficient Efforts: Firms Look to Break Down Their Isolated Compliance Processes Industry solution providers are coming up with new ways to unify compliance efforts across the organization, bringing efficiencies and benefits to the business from widely maligned regulatory mandates.
Wall Street & Technology February 4, 2005 Ivy Schmerken	Reg NMS Tops the CIO Agenda The regulation to modernize the National Market System is shaping up as the single most important issue that chief information officers of buy-side and sell-side firms will focus on in 2005.
InternetNews April 22, 2005 Jim Wagner	NASDAQ to Acquire Instinet The $1.88 billion cash deal ups the stakes in the competition between the NYSE and NASDAQ.
Wall Street & Technology January 23, 2007 Cory Levine	A Market Turned Upside Down The E.U.'s Markets in Financial Instruments Directive is scheduled to go into effect in November 2007. Even U.S.-based firms will need to have a thorough strategic plan for compliance in order to stay competitive in the global markets.
Insurance & Technology June 16, 2004 Julie Gallagher	Look On the Bright Side Rather than letting the clouds of regulation rain on their operations, insurers that look for compliance's silver lining have an opportunity to improve their business processes.
Wall Street & Technology March 14, 2008 Penny Crosman	Exchanges Hardest Hit by Trade Data Avalanche Although the buy side and sell side have to store trade data, too, exchanges such as ISE are hardest hit by Reg NMS/MiFID trade data volumes.
Bank Technology News June 2005 Glen Fest	Irreconcilable Differences? When Jerry Putnam used to describe the New York Stock Exchange and its practices, the CEO of Archipelago Holdings was prone to using words like monopolistic, blackball and pathology.
Bank Systems & Technology June 1, 2005 Phil Britt	Missed Opportunity Though Sarbanes-Oxley, Basel II and revisions in state and federal banking laws continue to increase the time and cost commitment banks must make for compliance, there are ways to mitigate the burdens of regulatory requirements and even improve operations.
Bank Technology News October 2008 Kyle Duckers	Strategic GRC Yields Clear Payback Can a financial institution's governance, risk and compliance effort be a strategic tool, or is it simply a cost of doing business? Can best practices actually improve shareholder value? These are important questions that some financial services executives continue to ponder.
Financial Planning September 1, 2006 Jane Worthington	Accounting for Compliance Instead of viewing compliance as a necessary evil, financial advisors should see it as a cost of doing business and learn how to quantify that cost.
Wall Street & Technology November 26, 2007 Melanie Rodier	Streamlining Global Compliance Globalization continues to be a trend, and financial companies are finding they can't manage current global compliance requirements efficiently.
Wall Street & Technology January 24, 2006 Maria Wakem	Holding the Spending Line Finding ways to control compliance costs has become a high priority for Wall Street CIOs as they realize that more IT dollars diverted toward compliance means fewer IT dollars devoted to clients' needs and company growth.
Bio-IT World February 11, 2005 Judy Hanover	Leveraging IT to Achieve Compliance Budgeting and measuring the success of compliance initiatives is a credibility issue for CIOs.
Wall Street & Technology May 30, 2007 Melanie Rodier	Market for Wealth Management Compliance Systems Set to Jump 15% by 2011 Investment advisors are expected to spend the most on technology as they are among the fastest growing and most regulated group of advisors. But hedge funds are also likely to increase IT spending.
Wall Street & Technology January 24, 2006 Paul Allen	Turning the Tide As ECNs and other alternative trading systems have emerged, fragmentation in the capital markets has increased. But with the acquisitions of Archipelago by the NYSE and of the Brut and INET ECNs by Nasdaq, the tide may be turning.
Wall Street & Technology June 13, 2006	Ask the Experts Mark Madoff, co-director of trading at Bernard L. Madoff Investment Securities, discuses how the U.S. securities market will change as the NYSE and Nasdaq introduce new fee schedules.