Trader Talk

Trading exchange execs ask if tough times are ahead as market-altering rules loom

Trading exchange execs ask if tough times are ahead as market-altering rules loom

In this article NDAQ ICE CME SCHW HOOD Gary Gensler, chairman of the Commodity Futures Trading Commission (CFTC), listens during a Financial Stability Oversight Council (FSOC) meeting at the U.S. Treasury in Washington, D.C., U.S., on Monday, Dec. 9, 2013. Andrew Harrer | Bloomberg | Getty Images We are live on Wednesday at Piper Sandler’s…

SEC’s Gensler speaks Wednesday, and rules that overhaul market operations could be coming

SEC’s Gensler speaks Wednesday, and rules that overhaul market operations could be coming

Gary Gensler, chairman of the U.S. Securities and Exchange Commission (SEC), at the SEC headquarters office in Washington, D.C., U.S., on Thursday, July 22, 2021. Melissa Lyttle | Bloomberg | Getty Images SEC Chair Gary Gensler is trying to make good on his promise to address what he believes are deficiencies in the U.S. trading…

The ETF industry is raking in cash, but advisors have plenty of worries

The ETF industry is raking in cash, but advisors have plenty of worries

Catherine Wood, chief executive officer of ARK Investment Management LLC, applauds during the Bitcoin 2022 conference in Miami, Florida, on Thursday, April 7, 2022. Eva Marie Uzcategui | Bloomberg | Getty Images Exchange, the biggest ETF conference in the world, starts Monday in Miami Beach. It’s both good times, and difficult times for the exchange-traded fund…

Regulators are worried that retail traders are getting in over their heads

Regulators are worried that retail traders are getting in over their heads

People wait in line for t-shirts at a pop-up kiosk for the online brokerage Robinhood along Wall Street after the company went public with an IPO earlier in the day on July 29, 2021 in New York City. Spencer Platt | Getty Images News | Getty Images Hey Mr. Retail Trader: do you like to…

The SEC wants to know a lot more about what companies are doing about climate change

The SEC wants to know a lot more about what companies are doing about climate change

U.S. Securities and Exchange Commission (SEC) Chair Gary Gensler testifies before a Senate Banking, Housing, and Urban Affairs Committee oversight hearing on the SEC on Capitol Hill in Washington, September 14, 2021. Evelyn Hockstein | Pool | Reuters The Securities and Exchange Commission wants to know a lot more about what companies are doing about…

Chinese stocks are down sharply on Thursday. Here’s what could be behind the decline

Chinese stocks are down sharply on Thursday. Here’s what could be behind the decline

Traders on the NYSE Feb. 28, 2022. Source: NYSE Select Chinese stocks have declined sharply on Thursday. China watchers believe this is likely because the Securities and Exchange Commission has identified five U.S.-listed American depositary receipts of Chinese companies (Yum China, BeiGene, Zai Lab, ACM Research and HUTCHMED) for failing to adhere to the Holding…

SEC to vote on new cybersecurity disclosure rules as Ukraine crisis gives them ‘special relevance’

SEC to vote on new cybersecurity disclosure rules as Ukraine crisis gives them ‘special relevance’

Traders on the floor of the NYSE, March 2, 2022. Source: NYSE The Securities and Exchange Commission is voting on Wednesday to propose new cybersecurity rules for public companies.   There are two components to the proposal: Mandatory cybersecurity incident reporting: “Material” incidents would have to be reported on an 8-K form within four business days…

Traders fret about a growth slowdown as Fed Chair Powell faces a dilemma on rates

Traders fret about a growth slowdown as Fed Chair Powell faces a dilemma on rates

Federal Reserve Chairman Jerome Powell testifies during the House Financial Services Committee hearing titled Oversight of the Treasury Department’s and Federal Reserve’s Pandemic Response, in Rayburn Building on Wednesday, December 1, 2021. Tom Williams | CQ-Roll Call, Inc. | Getty Images If you want to see how tough it is to be Federal Reserve Chair…

Moscow’s stock market is closed, but these Russian ETFs continue to trade in the U.S. Here’s why

Moscow’s stock market is closed, but these Russian ETFs continue to trade in the U.S. Here’s why

Traders on the floor of the NYSE, Feb. 25, 2022. Source: NYSE The NYSE and Nasdaq have announced today that they are halting trading in several Russia-based stocks that list on their respective exchanges. Much more interesting is the fact that the Russian stock market in Moscow is closed, but U.S.-based Russian exchange-traded funds are…

The SEC’s proposed short-selling rule is part of a focus on more disclosure

The SEC’s proposed short-selling rule is part of a focus on more disclosure

U.S. Securities and Exchange Commission (SEC) Chair Gary Gensler testifies before a Senate Banking, Housing, and Urban Affairs Committee oversight hearing on the SEC on Capitol Hill in Washington, U.S., September 14, 2021. Evelyn Hockstein | Reuters The Securities and Exchange Commission proposed new rule that would tell investors more about short sales is part…