TOPIC: Trading & Surveillance


Best Execution Also Means… Know Your Broker

Earlier this month FINRA announced that it has fined Barclays Capital $2 million for failing to comply with its Best Execution obligations in connection with its customers’

Do ESG Ratings Impact Stock Price Volatility?

Below is an excerpt from ISS LiquidMetrix’s recently released paper “Do ESG Ratings Impact Stock Price Volatility?”. The full paper is available for download from the Institutional

Liquidity Behavior in the S&P 500

As a large cap index all the constituents of the S&P 500 are highly liquid. This is certainly true compared to mid-cap or small cap