RealClearMarkets: Mark-to-Market Taxation Will Harm Us All

Consider it a warning sign when legislation coming off Capitol Hill includes language – even before it is enacted – indicating a federal agency will need to simplify its related rules. As former Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) Commissioners, we know too well the complexities in implementing rules to carry out legislative intent.

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Options Market Participants Face New Regulatory Inquiries; Tried and True Remedies Are the Solution

As families get through back-to-school checklists, Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) are similarly going through their own regulatory check lists for options market participants. There are several new regulatory sweeps and enforcement inquiries being sent out now to options market participants, including questions about suitability, payment for order flow (PFOF), surveillance, and regulation of short sales issues.

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