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Cboe Postpones Trading Floor Reopening

June 4, 2020 by Eugene Grygo

Cboe Postpones Trading Floor Reopening

Cboe Global Markets has postponed the re-opening of its “South Loop” trading floor until Monday, June 15, a week later than previously announced. The reopening of the officially named Cboe Options Exchange (C1) trading floor “was previously scheduled for Monday, June 8, 2020,” according to the latest Cboe statement. “The decision to postpone the reopening… Read More >>

Filed Under: FTF Bull Run Blog, Derivatives Operations, Collateral & Margin Management, Derivatives Processing, Securities Operations, Clearing, Data Management, Industry News, Middle-Office, Operational Risk, Ops Automation, Risk Management, General Interest, Governance, Diversity, Equity, and Inclusion (DEI), FinTech Trends, Back-Office, Integration, Standards, Opinion, Minding the Gap, KYC, Regulation & Compliance, Derivatives, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: CBOE, clearing, collateral management, COVID-19, derivatives, equity and option exchanges, governance, open outcry, operations, pandemic, Securities Operations, trading floor

SIFMA & SROs Settle CAT Fight

May 18, 2020 by Eugene Grygo

SIFMA & SROs Settle CAT Fight

SIFMA and key securities exchanges/self-regulatory organizations (SROs) have settled a big disagreement over the liability for data breaches that may occur via the Consolidated Audit Trail (CAT) big data market surveillance initiative. As envisioned, the CAT data repository of securities transaction data would enable regulatory surveillance via “an extensive audit trail that will capture customer… Read More >>

Filed Under: FTF Bull Run Blog, Securities Operations, Corporate Actions, Data Management, Industry News, Middle-Office, Operational Risk, Ops Automation, Reconciliation & Exceptions, Risk Management, Settlement, Governance, FinTech Trends, Back-Office, Integration, Standards, Opinion, Minding the Gap, Performance Measurement, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Cybersecurity, Regulatory Reporting, Industry News Tagged With: CAT NMS, Consolidated Audit Trail (CAT), equity and option exchanges, Financial Industry Regulatory Authority (FINRA), SEC, Sifma, SRO

Dash Financial Debuts Data Visualization System

January 21, 2016 by Eugene Grygo

Agency broker-dealer Dash Financial has launched Dash360, a data visualization tool intended to help buy-side firms achieve more transparency and attribution into the order routing, execution behavior, costs and performance of securities transactions overseen by Dash, which works in U.S. options and equities markets. “We provide the transparency to see where we routed the order,… Read More >>

Filed Under: Derivatives Operations, Securities Operations, Clearing, Industry News, General Interest, FinTech Trends, Back-Office, Industry News Tagged With: Buy-side, Dash Financial, Dash360, data visualization, David Karat, equity and option exchanges, equity derivatives clearing, execution behavior, modular trading architecture, National Securities Clearing Corporation, NSCC, OCC, order routing, Peter Maragos, securities transactions, trader, transparency

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