Compliance & Regulation
July 15, 2013 - Securities regulators approved a plan to require U.S. off-exchange markets such as dark pools to boost disclosure about the transactions they handle.
July 2, 2013 - Scivantage's Maxit platform will be integrated with Broadridge's processing engine and hosted in Broadridges data centers.
June 24, 2013 - Financial market enforcement, regulators, exchanges and trading firms turn their attention from specific alerts of insider trading to identifying larger patterns of abuse.
May 4, 2009 - Financial firms are voicing concerns about the operational and systems changes required to accommodate the IRS's new cost-basis reporting mandate.