Tag Archives: SEC

Transaction Credits and Marketcore Patent discussed in July Issue of Risk Magazine

In response to the SEC’s solicitation of comments on various proposals to reform the institutional framework of credit ratings, David M. Rowe writes in the July, 2011 Issue of Risk Magazine that: Trying to reform market structure in search of … Continue reading

Posted in 2 Press, Financial Crisis, SEC | Tagged , , , , ,

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 , , , , , , , , , , , , , , , ,

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

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How Marketcore Could Help the SEC Fulfill Its Mandate

The Office of Risk Assessment of the Securities and Exchange Commission is responsible for coordinating the SEC’s risk management program. It goes without saying that it’s not an easy job. The following report was one of many provided to the … Continue reading

Posted in 1 Advisory, 3 Opinion, Financial Crisis | Tagged , , , , , , , , , , , , , , , , , , , , , , ,