Category Archives: CFTC

BLOOMBERG: CFTC Seeks Comment on Potential High-Speed Trading Curbs

Posted on September 10, 2013 by Innovator

As reported by Bloomberg’s Silla Brush, the U.S. Commodity Futures Trading Commission (CFTC) is seeking comment on whether to require registration for automated trading firms, taking a first step in potential restrictions on high-speed and algorithmic derivatives trading. CFTC members … Continue reading →

Posted in CFTC, CME Group, Finance, Flash Crash, High Frequency Trading, Regulatory Updates, SEC | Tagged algorithmic derivatives trading, automated trading firms, Bart Chilton, CFTC, CFTC Chairman Gary Gensler, CFTC commissioner, CME Group, Commodity Futures Trading Commission, computer malfunctions, concept release, DRW Holdings, Electronic Markets, exchange-trading, flash crash, Flash Freeze, flawed algorithms, floor-based trading, Futures exchange, Futures Industry Association, Gary Gensler, high-frequency and algorithmic trading, high-speed trading, High-Speed Trading Curbs, high-speed trading strategies, human speed, infinium capital management, insufficient testing, KNIGHTMARe ON WALL STREET, maximum number of trading orders, Nasdaq Stock Market, principal traders group, RGM Advisors, risk controls, Scott O'Malia, SEC, Securities and Exchange Commission, Silla Brush, software error, supervision, system safeguards, systemic risks, testing, top U.S. derivatives regulator, U.S. futures markets | Leave a comment

OPEN LETTER to SEC Chairman Mary Jo White: Maintaining the Standing of the U.S. as the World’s Most Sophisticated Financial and Trading Market

Posted on September 9, 2013 by Innovator

Dear chairman Mary Jo White, As informed by NASDAQ after the August 22 incident, price quotes were not being disseminated by the Securities Information Processor (SIP) for three hours. There was a connectivity issue, which led to degradation in the … Continue reading →

Posted in CFTC, Equity Markets, FINRA, High Frequency Trading, knight capital, NASDAQ, NYSE, Regulatory Updates, SEC, Wall Street | Tagged CFTC, Citadel, Den of Thieves, Direct Edge, Edgar Perez, Electronic Trading, Facebook, financial markets, GETCO, high-frequency trading, IBM, investors, IT department, Jersey City, KCG, KCG Holdings, Ken Pasternak, Knight capital, KNIGHTMARe ON WALL STREET, Liar’s Poker, Mary Jo White, Mary Schapiro, Michael Tobin, Microsoft, Nasdaq, New York Stock Exchange, NYSE, operational risks, PricewaterhouseCoopers, Retail liquidity program, RLP, SEC, SEC Chairman, shareholders, SIFMA, software, The Flash Freeze, The Rise and Fall of Knight Capital and the Biggest Risk for Financial Markets, The Speed Traders, TheFlashFreeze, Thomas Joyce, traders, trading disaster, Virtu Financial, Wall Street | Leave a comment

“Dark pools”, Private “Off-the-record” Buying and Selling of Corporate Stocks, Run Deep in Financial Markets

Posted on August 3, 2013 by Innovator

Richard Scamehorn writes that a Dark Pool has no formally designated name because it doesn’t exist as an entity. It only exists in the back rooms of investment bankers — notably in the largest participants, Credit Suisse Group AG, Barclays … Continue reading →

Posted in CFTC, Dark Pools, FINRA, NASDAQ, NYSE, Regulatory Updates, SEC | Tagged abusive trading actions, Barclays, corporate stocks, Credit Suisse, Dark Pools, Financial Industry Regulatory Authority, Finra, goldman sachs, Great Recession, John Malitzis, Nasdaq, Newledge, NYSE, off-the-record | Leave a comment

Edgar Perez, Presenter at HFT Conference in New York, Advocating High-frequency Regulation

Posted on July 26, 2013 by wliu425

Edgar Perez, author of The Speed Traders and speaker at High-frequency Trading Leaders Forum 2013 New York City, claims that wrongdoing in the financial markets has existed long before the advent of high-frequency trading, and it will always be a … Continue reading →

Posted in CFTC, Equity Markets, Flash Crash, High Frequency Trading, Regulatory Updates | Tagged Adjunct Professor, algorithmic trading, China Financial Publishing House, Edgar Perez, financial markets, flash crash, global expert, HFT conference, High Frequency Trading Leaders Forum 2013, High-Frequency Finance, high-frequency trading, high-frequency trading conference, high-frequency trading programs, Investing World, keynote speaker, McGraw-Hill, New York, New York City, New York University, Polytechnic Institute, regulators, technology, The Speed Traders, The Speed Traders Workshop | 1 Comment

CME Requests CFTC Approval to Change Rule Barring Wash Trades

Posted on July 12, 2013 by admin

CME Group Inc. (CME), the owner of the world’s largest derivatives market, asked the Commodity Futures Trading Commission to approve a change to its rule barring traders from engaging in transactions with themselves. Following discussions with the CFTC’s market … Continue reading →

Posted in Articles, CFTC, CME Group, Dark Pools, Finance, High Frequency Trading | Tagged Bart Chilton, business, CFTC, Chicago, CME Group, Commodity Futures Trading Commission, Democratic Party (United States), Derivatives market | 1 Comment

CFTC’s Chilton Seeking Review of CME Wash-Trade Restrictions

Posted on June 24, 2013 by admin

U.S. regulators should review CME Group Inc. (CME)’s plan for blocking wash trades to ensure that it sufficiently restricts the illegal transactions, said Bart Chilton, a member of the Commodity Futures Trading Commission. CME’s plan for preventing the trades, in … Continue reading →

Posted in Articles, CFTC, Dark Pools, High Frequency Trading, Regulatory Updates | Tagged Bart Chilton, business, Chicago, Chilton, CME Group, Commodity Futures Trading Commission, Democratic Party (United States), Investing | 1 Comment

How the Robots Lost: High-Frequency Trading’s Rise and Fall

Posted on June 12, 2013 by Innovator

Steve Swanson was a typical 21-year-old computer nerd with a very atypical job. It was the summer of 1989, and he’d just earned a math degree from the College of Charleston. He tended toward T-shirts and flip-flops and … Continue reading →

Posted in Business, CFTC, Equity Markets, Flash Crash, High Frequency Trading | Tagged high-frequency trading; Citigroup; trading volume; market making; statistical arbitrage; Flash Crash; Knight; Getco; Steve Swanson; Midas; wash trading; momentum trading | 1 Comment

Financial Markets Are At Risk Of a ‘Big Data’ Crash

Posted on May 24, 2013 by Innovator

Maureen O’Hara from FT reports that regulators and investors are struggling to meet the challenges posed by high-frequency trading. This ultra-fast, computerised segment of finance now accounts for most trades. HFT also contributed to the “flash crash”, the sudden, vertiginous … Continue reading →

Posted in CFTC, High Frequency Trading | Tagged algo, algorithms, Associated Press, Barack Obama, big data, CFTC, Commodity Futures Trading Commission, DJIA, Dow Jones Industrial Average, flash crash, Hedge Funds, HFT, high-frequency trading, Lawrence Berkeley National Laboratory, Marcos Lopez de Prado, National Laboratories, NYU-Poly Big Data Finance, regulator, Rosenblatt Securities, Scott O'Malia, ultra-fast | 1 Comment

HFT Analysis: High Speed Trading a Stiff Challenge for SEC and CFTC Regulators

Posted on May 21, 2013 by Innovator

Christine Stebbins from Reuters reports that financial trading in world markets has grown so lightning-fast that effective regulation is growing tougher by the second, increasing the threat of crashes sparked by hoaxes, electronic glitches or yet-unknown causes. The latest alarm … Continue reading →

Posted in CFTC, CME Group, High Frequency Trading, Regulatory Updates, SEC, TABB Group poll | Tagged Aaron Smith, agricultural markets, algorithms, Associated Press, CFTC, CME Group, computerized trading, concept release, Department of Agriculture, derivatives markets, disruptive practices, division of market oversight, DJIA, Dodd-Frank, Dow Jones Industrial Average, efficient markets, electronic glitches, financial markets, Financial trading, flash crash, Futures Industry Association, futures markets., Gary Gensler, Hedge Funds, high-frequency trading, high-speed trading, Institutional Investors, institutional traders, IntercontinentalExchange, James Overdahl, Lehman Brothers, market liquidity, monitoring, mutual fund. Commodity Futures Trading Commission, National Grain and Feed Association, NGFA, price discovery., regulation, Richard Shilts, Risk management, SEC, Securities and Exchange Commission, securities markets, Senate Agricultural Committee, spoofing, stock-index futures, Terry Duffy, The Tabb Group, Twitter, University of California, White House | 1 Comment

U.S. Regulators Investigating if High-frequency Traders are Distorting Stock and Futures Markets: ‘Wash Trades’

Posted on March 18, 2013 by Innovator

According to The Wall Street Journal’s Scott Patterson, Jenny Strasburg and Jamila Trindle, U.S. regulators are investigating whether high-frequency traders are routinely distorting stock and futures markets by illegally acting as buyer and seller in the same transactions, according to … Continue reading →

Posted in Breaking News, CFTC, CME Group, Equity Markets, High Frequency Trading, knight capital, SEC, The Wall Street Journal | Tagged agricultural commodities, algorithmic trading, Atlanta, Bart Chilton, buyer and seller, CFTC, CFTC commissioners, CME Group, Commodity Futures Trading Commission, computer-driven trading, crude oil, December, Dodd-Frank, exchanges, false information, fantasy liquidity, Financial Industry Regulatory Authority, financial risk, Finra, Florida, futures, futures contracts, futures exchanges, Futures Industry Association, HFT conference, high frequency traders, High Frequency Trading-Controlling the Risks, high-frequency customers, high-speed firms, high-speed markets, higher volumes, ICE, incentives, IntercontinentalExchange, international regulators, Jamila Trindle, Jenny Strasburg, Knight capital, manipulate prices, market watchdogs, markets, Nasdaq OMX, NYSE Euronext, NYX, precious metals, regular investors, Scott Patterson, SEC, Securities and Exchange Commission, Standard & Poor's 500-stock index, stock, suspicious trading activity, The Wall Street Journal, trading firm, trading-engine, Transaction Costs, transactions, U.S. law, U.S. regulators, underlying instruments, voluminous instances, wash trades | Leave a comment

Category Archives: CFTC

BLOOMBERG: CFTC Seeks Comment on Potential High-Speed Trading Curbs

OPEN LETTER to SEC Chairman Mary Jo White: Maintaining the Standing of the U.S. as the World’s Most Sophisticated Financial and Trading Market

“Dark pools”, Private “Off-the-record” Buying and Selling of Corporate Stocks, Run Deep in Financial Markets

Edgar Perez, Presenter at HFT Conference in New York, Advocating High-frequency Regulation

CME Requests CFTC Approval to Change Rule Barring Wash Trades

CFTC’s Chilton Seeking Review of CME Wash-Trade Restrictions

How the Robots Lost: High-Frequency Trading’s Rise and Fall

Financial Markets Are At Risk Of a ‘Big Data’ Crash

HFT Analysis: High Speed Trading a Stiff Challenge for SEC and CFTC Regulators

U.S. Regulators Investigating if High-frequency Traders are Distorting Stock and Futures Markets: ‘Wash Trades’

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