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Tag Archives: consolidated order tracking system
Comments on Proposed Rule on Consolidated Audit Trail, August 10, 2010
The following public comment was provided to the SEC on their proposed rule that would “require national securities exchanges and national securities associations (“self-regulatory organizations” or “SROs”) to act jointly in developing a national market system (“NMS”) plan to develop, … Continue reading
Posted in 1 Advisory, SEC
Tagged abs, consolidated audit trail, consolidated order tracking system, credit and liquidity crisis, financial markets, intermediation, Jonathan Sokobin, lines of credit, loans, Marketcore, mbs, national market system, NMS, regulators, SEC, Securities Echange Commission, systemic risk
The New SEC Consolidated Audit Trail Rule Doesn’t Go Far Enough
The SEC has proposed a rule that would “require national securities exchanges and national securities associations (“self-regulatory organizations” or “SROs”) to act jointly in developing a national market system (“NMS”) plan to develop, implement, and maintain a consolidated order tracking … Continue reading
Posted in 3 Opinion, Current Events, Financial Crisis, SEC
Tagged abs, consolidated audit trail, consolidated order tracking system, credit and liquidity crisis, financial markets, intermediation, Jonathan Sokobin, lines of credit, loans, Marketcore, mbs, national market system, NMS, regulators, SEC, Securities Exchange Commission, systemic risk
