A critical component of FTEN’s commitment to its customers and the financial industry is to help foster fair and efficient global markets through the reduction of systemic risk. Accordingly, FTEN works with its varied global client base, and industry working groups, including Security Traders Association, Financial Information Forum and SIFMA, to identify challenges and become an expert on market structure and regulatory challenges. FTEN hosts and participates in numerous educational initiatives designed to share our unique insight into the pressing issues of the day.
Current insights:
SEC Market Access Rule 15c3-5 (MAR) – Visit the MAR Resource Center to view compliance requirements for broker-dealers under the new rule.
Large Trader Reporting 13h-1 – Are you ready for December 1st? Visit our Large Trader Reporting page to view staged requirements for both buy- and sell-side firms
FTEN’s comment letter to the European Securities Market Authority (ESMA)
View Current Whitepaper Library