Tom Steinert-Threlkeld

The technology division of NYSE Euronext said its Capital Markets Community Platform will provide direct, on-demand access to high-performance, low-latency services from NYSE Technologies, including its Superfeed of market data, its Risk Management Gateway, its Managed Services Hub, and its global Liquidity Center Network.

FINRA complaint alleges New York-based firm failed to properly vet non-traded REIT and posted misleading returns on its corporate website.

The Securities and Exchange Commission Wednesday adopted rules that could reward individuals who blow the whistle on illegal activity in securities markets, with bounties on successful prosecutions where sanctions exceed $1 million.

The broker industry’s chief regulator said Tuesday that its examiners will spend more time on “open-ended thematic reviews” that can identify where controls on financial risks break down.

Among other things, the rules are expected to keep executives or employees of credit rating agencies from going to work for the companies whose credit they have rated, for at least one year. The proposals are also likely to block agencies from having a person who markets its products or services also participate in its ratings.

Dividing up computing capacity inside an organization is not only cutting a company's ties to fixed-in place servers -- it's cutting the cords of managers to the hardware that they are supervising.

The two-day collapse of Amazon Web Services last month is the kind of incident that underscores the concern that continues to keep critical applications, such as Wall Street's trading programs, out of remote, hosted online services and data centers, said Geoff Tudor, chief cloud strategist at Hewlett-Packard Company.

Northern Trust will acquire Omnium, which has about $30 billion of hedge fund assets under its administration and $40 billion from other financial institutions.

Tradar said its portfolio and order management software will become available as a hosted service for fund managers, through Eze Castle Integration.

Markit and Deutsche Bank said they are providing financial research through a single application for iPad users.

The Securities and Exchange Commission is set to meet next week to address how to prevent runs on money market funds that could disrupt the $2.7 trillion market and the nation's financial system as a whole.

The SIX Swiss Exchange has begun trading in 12 exchange-traded funds created by State Street Global Advisors.

Six days after the Securities and Exchange Commission holds a roundtable discussion regarding money market funds and systemic risk, the Investment Company Institute (ICI) will host its own one-day money market fund summit.

The Commodity Futures Trading Commission and the Securities and Exchange Commission said they will hold a two-day roundtable at the start of May to help set dates for implementing final rules governing the establishment of new markets for trading credit default and other types of swaps of financial risks.

The Global Transaction Services unit of Citigroup Tuesday rolled out OTC Derivatives Service, which consolidates and streamlines the confirmation, settlement, valuation, collateral management, and margin management involved after a trade is executed. The system handles both middle- and back-office functions.

The Depository Trust & Clearing Corporation said it named former Citigroup operations and technology chief Robert Druskin chairman of its board. Donald F. Donahue remains chief executive officer.

The nation’s stock exchanges and the Financial Industry Regulatory Authority filed a proposal to establish a new “limit up-limit down” mechanism that would limit swings in stock prices, during periods of volatility.

A Financial Industry Regulatory Authority hearing panel expelled a California broker-dealer from the securities industry, for failing to implement and enforce an anti-money laundering program.

Wells Fargo Securities will pay $11 million in penalties for misrepresenting - and overcharging for - two complex debt products tied to housing industry performance.

A year into its existence, the size, knowledge and dedication of the SEC's special asset management enforcement unit is going to spell “trouble with a capital T’’ for fund managers of all stripes, according to experts at the final general session of the 2011 Investment Company Institute Mutual Funds and Investment Management Conference.