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CFO November 1, 2011 Vincent Ryan	Follow the Bouncing Stock Equity markets are more volatile than ever, and many observers say high-frequency trading is the reason.
BusinessWeek May 20, 2010 Nina Mehta et al.	The Machines That Ate the Market Once upon a time, human beings oversaw the trading of stocks. They've been replaced by a complex system of computers that can produce a scary new kind of mechanized panic. An investigation into the crash of May 6.
Wall Street & Technology December 12, 2007 Larry Tabb	NYSE Specialist Elimination Is Overdue The NYSE specialist may soon be eliminated and replaced with designated market makers. But whether these new market intermediaries are effective and profitable is questionable.
BusinessWeek May 20, 2010	Tricks of the Trade The evolution of men and machines in the stock market.
Finance & Development March 2010 Randall Dodd	Opaque Trades Not all financial innovations increase efficiency. Here are three with questionable effects.
The Motley Fool November 14, 2011 Morgan Housel	Taxing the Reckless Thoughts on a transaction tax. Rep. Peter DeFazio (D-Ore.) and Sen. Tom Harkin (D-Iowa) have introduced a bill called the Wall Street Trading and Speculators Tax Act.
Wall Street & Technology March 1, 2004 Ivy Schmerken	Changing of the Guard The NYSE's new Chief Executive John Thain is moving quickly to increase automatic execution on the floor. Will there still be a role for specialists? Will he dismantle the auction model? How far will John Thain go?
Wall Street & Technology September 24, 2009 Ivy Schmerken	Kaufman Praises SEC Proposed Ban On Flash Orders, But Seeks Broad Review Senator urges regulator to examine high frequency trading, colocation and dark pools, as well as direct market access.
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 February 12, 2004 Ivy Schmerken	Changing the Rules of the Game A change in the trade-through rule now on the SEC's agenda could lead to more direct-access and smart order-routing tools.
Financial Advisor October 2010 Leila B. Boulton	The Fast And The Furious Are high-frequency traders running over investment advisors and their clients?
The Motley Fool November 9, 2011 Travis Hoium	Behind the Scenes of the Market: High-Frequency Trading High-frequency trading provides a great service and big risks for the market.
The Motley Fool May 9, 2005	Stock Specialists Did you know that specialists are "making a market" in your stock?
BusinessWeek May 9, 2005 Weber et al.	The Tremors From Two Trading Titans As the Big Board and NASDAQ buy rivals and beef up, how will investors fare? Will they be better served by the mergers?
Wall Street & Technology June 4, 2004 Ivy Schmerken	Reg NMS: Divided We Stand Unable to define fast versus slow markets, the industry is split over the SEC proposal to amend the trade-through rule.
Wall Street & Technology February 3, 2005	REG NMS Cheat Sheet A synopsis of the 371-page SEC document outlining the Regulation National Market System proposal, with one-page summaries of each of its four components.
BusinessWeek November 11, 2010 Charlie Rose	Charlie Rose Talks to Mary L. Schapiro The chairman of the SEC on rolling out financial reform, reining in high-frequency trading, and ensuring the integrity of the markets.
BusinessWeek December 6, 2004 Amy Borrus	No More Breaks For The Big Board Why the SEC should stand by its plan to loosen the NYSE's hold on trading
Wall Street & Technology March 26, 2004 Larry Tabb	NYSE: Fast Market or No Market? If the NYSE becomes more electronic, its owners (the specialists and floor brokers) will be disadvantaged, and possibly jobless.
Registered Rep. March 10, 2011 Kristen French	SEC Says Bigger Budget Is Supported By BCG Report In testimony before Congress Thursday, SEC Chairman Mary Schapiro made a case for an increase in the agency's funding to $1.407 billion for 2012.
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.
Wall Street & Technology March 19, 2007 Cory Levine	SIFMA and NetCoalition Set Off Market Data Dispute Lobbyists SIFMA and NetCoalition have convinced the SEC to conduct a rare review of market data fees, setting off a spirited debate between exchanges and broker-dealers, such as Charles Schwab.
Registered Rep. May 1, 2005	Blotter Not-So-Hot IPO: The NASD fined Thomas Weisel Partners for levying exorbitant commission charges on "hot" IPO shares... Expelled, Reinstated, Expelled: Brokerage firm LH Ross was officially expelled from the securities industry and fined... etc.
Registered Rep. October 27, 2009 Halah Touryalai	Schapiro: Don't Expect Respite From Reform Securities and Exchange Commission Chairman Mary Schapiro lays out a number of regulatory issues the SEC will be paying close attention to in the coming months.
BusinessWeek January 26, 2004 Mara Der Hovanesian	The NYSE: A Thousand Cuts ECNs, regional exchanges, brokerages -- they're all taking a piece of the Big Board.
Registered Rep. August 1, 2006 Charles R. Geisst	A Nation of Investors It is often said these days that we are a shareholder nation. But in 1975, you would have been laughed at for uttering such a fantastic prediction. Despite all of the positive developments in the stock markets, the matter of market integrity continued to rear its ugly head from time to time.
Wall Street & Technology May 25, 2005 Dan Safarik	A Chip Off the Block The New York Stock Exchange plans to modernize its trading model with the upcoming Hybrid system, which, in part, is meant to draw back the large orders that have migrated to newer, electronic block-trading systems.
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.
Investment Advisor June 1, 2011 Melanie Waddell	Schapiro Says SEC to Focus in July on Fiduciary, 12b-1 The Commission will look at fund regulation "in tandem" with RIA/BD reform.
The Motley Fool December 26, 2006 Dan Caplinger	The SEC's Gift to You: Part 2 By giving the investing public access to information, and serving as a regulator with the power to take action to correct problems, the SEC works hard to protect investors.
U.S. Banker June 2005 Glen Fest	Opposition Swells Against The Two Proposed Mergers In the wake of April's stock- exchange merger announcements by both the New York Stock Exchange and Nasdaq, a question seems to be surfacing a month later: Is anyone happy with the proposed consolidations of the major exchanges?
Registered Rep. November 24, 2015 Debbie Carlson	Is There a Liquidity Risk in Liquid Alts? Alternative mutual funds are a fast-growing part of the investment space, pushed by asset management companies that are suffering from the larger secular shift away from active and higher-priced management toward index funds.
Wall Street & Technology June 4, 2004 Ivy Schmerken	PHLX Pushes Capacity to Extremes CIO William Morgan leads effort to upgrade capacity and provide streaming quotes.
BusinessWeek December 30, 2009 Jesse Westbrook	Why the SEC Keeps Backpedaling New Chairman Schapiro could be caving in to business pressure.
Wall Street & Technology January 5, 2005 Larry Tabb	Light Speed and The Buttonwood Tree Order routing technology allowed trading desks to be located anywhere. Electronic exchanges enabled not only the matching of orders at increasingly faster speeds, but the development of virtually linked exchanges.
The Motley Fool May 22, 2006 John Finneran	The Specialist Gene Why does the Big Board need specialists to trade the likes of IBM and Verizon? Anti-evolutionists swear that specialists provide liquidity to small stocks. But the London Stock Exchange uses computers to trade its largest mid-cap and small-cap stocks.
Wall Street & Technology June 22, 2004 Ivy Schmerken	How Low Can You Go? Reg NMS' proposed formula for allocating market-data revenues among exchanges isn't getting a warm welcome on the Street.
BusinessWeek September 13, 2004 Mara Der Hovanesian	Put The Big Board On The Big Board Why the nation's largest stock exchange should go public.
Investment Advisor October 2009 Melanie Waddell	B/Ds Warned on Recruiting SEC Chairman Mary Schapiro sent a letter to broker/dealer CEOs, reminding them of their supervisory obligations under federal securities laws.
Investment Advisor February 2009 Melanie Waddell	Is Mary What the SEC Needs? The alternative to FINRA overseeing advisors, and what advisors would definitely prefer, is a self-regulatory organization.
The Motley Fool June 22, 2010 Nick Kapur	Why Are Wall Street Computers Trying to Kill Us? Not even the Governator can stop this. Ninety-nine days out of 100, the widespread use of advanced technology isn't a problem.
Investment Advisor September 2009 Melanie Waddell	SEC Bulks Up Enforcement The Securities and Exchange Commission is moving at a rapid pace to repair its sullied reputation after being lambasted by Congress for failing to stop the Bernie Madoff Ponzi scheme.
BusinessWeek May 30, 2005 Justin Hibbard	Options Trading Grows Up Electronic systems are making the market more efficient and alluring to investors.
Investment Advisor June 2009 Melanie Waddell	Danger & Opportunity: Obama and SEC Enforcement Under Microscope As the Obama Administration was ringing in its first 100 days in office in early May, the Securities and Exchange Commission's enforcement division was awaiting a much-needed $40 million cash infusion that Congress promised was on its way.
Investment Advisor March 2007 Kathleen M. McBride	Monopoly Game How should newly public exchanges like NYSEArca and Nasdaq balance what some say are enormous and very fundamental conflicts of interest?
Financial Advisor October 2012	Stalled: Tougher Fiduciary Standard For Brokers Even with Wall Street and consumer advocates allied in pushing for it, a U.S. Securities and Exchange Commission proposal to raise standards for brokers advising retail investors has run aground.
Investment Advisor March 1, 2011 Melanie Waddell	SEC Fiduciary Rule May Hit by Summer Despite the advisory industry's hopes that the Securities and Exchange Commission would get a quick start on writing a rule to put brokers under the same fiduciary standard as advisors, it looks as though a rulemaking could come by summer.
BusinessWeek December 22, 2003 Amy Borrus	Funds: Leaving Little Guys Out In The Cold The SEC's cleanup of mutual funds could shortchange small investors.
Knowledge@Wharton	Global Securities Markets Present Tough Challenges for Investors and Regulators The bursting of the Internet bubble, the collapse of Enron and the emerging demutualization of securities exchanges, especially in Europe, have brought the role of securities market regulators into sharper focus than before...
Bank Technology News November 2007	Alternative Trading: ECNs, Dark Pools Gain Ground on Exchanges The trading venues running outside the traditional NYSE/NASDAQ exchange channels have their advantages-but also some limitations from their own success.