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Measuring Operational Risk: How the Mistakes Add Up

Among the most common operational mistakes cited by two dozen operations executives contacted by Securities Industry News last week: IT glitches; failed settlement of trades, incorrect valuations, unreconciled transactions among counterparties and service providers; and erroneous processing of corporate action notifications.

Small Brokers Fight Auditing Proposal

Small brokerage firms are taking their fight against having their accountants subject to regulation by the Public Company Accounting Oversight Board to the Senate.

News Desk

Going BATS: Integrating Equities and Options Trading
RealTick EMS Adds Algos, Futures Execution From Deutsche Bank

Perspectives

Wall Street 2(009)
Top 5 Trends in 2010 for Trading & Order Management
A Decade of Revolution
The Illusion of Safety

Departments

Trading
CBOE Takes 3D View of its Own Market Activity
Citadel Tries to Make a Market in Berlin
Geek Speak: Under The Hood
Clock is Ticking on London Exchange
Clearing Settlement
When It Comes to Pricing, There is No Such Thing as Simple