sponsored access news from FierceComplianceIT

Traders notes that although the comment period for the SEC's (SEC news) proposal to put more risk checks into the sponsored access (sponsored access news) process ended March 29, letters on the topic... Read more...

Most people assume that "naked access," the practice by which a sponsored entity enters trade directly on the market without any filtering by the broker-dealer, will soon be banned. That will force... Read more...