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May 6 “Flash Crash” Report - the Director’s Cut
October 27, 2010
Gregg Berman, Senior Advisor to the Director of the SEC's Division of Trading and Markets, recently gave an address before the 11th Annual SIFMA Market Structure Conference. Berman's remarks were focused on the joint SEC and CFTC report on the May 6 "flash crash," and,… read more
SEC and CFTC Issue Report on May 6 Flash Crash
October 04, 2010
On Friday, the SEC and CFTC issues a joint report relating the findings of their study of the May 6, 2010 "Flash Crash," an unprecedented acute and sudden disappearance of meaningful prices for many major exchange-listed stocks in the middle of the May 6 trading day.… read more
Ernst & Young: Exchange Traded Funds: creating strategic and operational models
September 14, 2010
In a recently published article, Ernst & Young LLP examines the preparatory processes financial firms undertake as they launch an exchange traded fund (ETF). The focus of the article is on how financial services firms should thoroughly understand their strategies for success and how the… read more
Flash Crash: Preliminary SEC and CFTC Findings
May 24, 2010
Staffs of the SEC and CFTC have released the preliminary findings of their investigations into the mysterious May 6 "Flash Crash." Though the precise causes of the acute and sudden disappearance of meaningful prices for many major exchange-listed stocks in the middle of the May… read more
SEC Staff Reviews Use of Derivatives
March 29, 2010
The SEC has announced that it will conduct a a review of the use of derivatives by mutual funds, exchange-traded funds (ETFs) and other investment companies. The review is intended to reevaluate current regulations governing funds' use of complex securities, and evaluate if these regulations… read more