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SecuritiesAdviser

SecuritiesAdviser provides news and analysis for the securities and commodities industry.

A number of pending regulations, such as Sen. Chris Dodd’s financial reform bill, have been proposed to tighten the reins on Wall Street and as a result, broker-dealers face a changing playing field. Navigating these numerous new rules can be challenging. This article explores the major issues that will affect broker-dealers, and what they can expect in the months ahead, including:

  • Cost-basis reporting requirements
  • Economic nexus
  • Flash trading and co-location
  • TRACE reporting
  • FOCUS filing
  • Sen. Dodd's financial reform bill

 

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