Industry Insights
Large Trader Reporting: SEC Rule 13h-1
Effective as of October 3, 2011, the Large Trader Reporting Rule has implications for both buy- and sell-side firms. Is your firm ready for November 30? Visit our Large Trader Reporting Resource page to learn about your firm's obligations and for the latest information on Rule 13h-1.
European Regulatory Reform: What’s Next?
FTEN’s The European Securities Market Authority (ESMA) released its Guidelines on 22 December 2011, adding to the list of regulatory initiatives, MiFID, MiFID II, Market Abuse Directive and the like. What implications will this have on your business? Where is the overlap with other initiatives?
Market Access Resouce Center
At FTEN, we are dedicated to educating the industry about the SEC Market Access Rule 15c3-5 (MAR). MAR requires brokers and dealers to have risk controls in place for market access. This cross-market rule applies to all U.S. venues trading equities, equity options, ETFs, debt securities and security-based swaps.
View MAR Awareness Factsheet »
What's New
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FTEN Adds Real-time Risk Analytics for
Options Risk Management(May 3, 2012) The new release strengthens FTEN’s position as the leading risk management provider offering an ecosystem of hosted solutions.
View Release »
View Factsheet »
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FTEN and Object Trading Offer Transparent Real-Time Risk Controls and Global Cross-Market Access
(December 14, 2011) FTEN and Object Trading announce alliance which offers cross-market and cross-asset transparency by providing dynamic pre-trade, at-trade and post-trade controls for broker-dealers who must meet new and pending global risk management regulations
View Release »
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Web Seminar Recording: Understanding Your Large Trader Responsibilities
Led by the FIF, STA and FTEN, this interactive web seminar is aimed at helping you better understand 13h-1.
View Now »
Manage and mitigate trading risk with aggregated, real-time visibility across asset classes, markets and systems using FTEN’s patented technology.
FTEN’s low-latency gateways connect to all major pools of liquidity across assets, providing full pre-trade risk management functionality and comprehensive flow control.
Industry-leading cross-market surveillance to monitor trading activity, detect suspicious behaviors and prevent market abuse. Help manage regulatory reporting obligations via a full suite of reporting tools.
Up-to-date resources on the latest industry trends and regulatory initiatives.