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Wall Street Regulator: Suspicious Trade Complaints 'Spiked' This Year...
www.wopular.com
A Wall Street regulator said industry complaints about market manipulation and trade reporting have spiked this year, raising questions about the adequacy of...
Regulators eyeing option trading firms for irregularities – The...
www.denverpost.com
"Order origination is an area of concern for our department right now," said Gene DeMaio, senior vice president of options regulation for Finra, in an interview.
FACTBOX: Madoff, SEC employees quizzed about agency missteps - Reuters
www.reuters.com
· FACTBOX: Madoff, SEC employees quizzed about agency missteps. Reuters Staff. 6 Min Read. WASHINGTON (Reuters) ... * Gene DeMaio, Senior Vice President, ...
SEC to extend automation rule to brokers | Markets – Gulf Newsgulfnews.com › business › sec-to-extend-automation-rule-to-brokers
gulfnews.com
Sep 14, · ... following the implementation of the market-access rule, according to Gene DeMaio, senior vice president for market regulation at Finra.
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