Jay Clayton
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After Huge Data Breaches, Republicans Back Watchdog’s Move to Limit Investor Personal Data Collection
By Rita Raagas De Ramos
April 24, 2019, Financial Advisor IQ
Members of the House Financial Services Committee have written to the SEC to express support for the regulator’s move …
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Systematic pennying on SEC’s agenda
By Sarah Wynn
April 15, 2019, The Bond Buyer
The Securities and Exchange Commission is discussing two new rule recommendations to address systematic “pennying.”
The SEC’s Fixed Income Market Structure …
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SEC Chief: Economic Analysis of SEC’s Reg BI Will Be ‘Robust’
By Melanie Waddell
April 8, 2019, ThinkAdvisor
Amid concerns that the Securities and Exchange Commission has not done a proper economic analysis of its advice standards package, including Regulation Best …
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White House Nominates Allison H. Lee for SEC Seat
By Dave Michaels
April 2, 2019, The Wall Street Journal
The White House on Tuesday said it would nominate a former enforcement attorney for a vacant seat on the Securities …
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Regulators Assure Industry CAT Will Not Expose Consumer Data
By Mark Schoeff Jr.
April 1, 2019, InvestmentNews
Recent remarks by Securities and Exchange Commission chairman Jay Clayton regarding a market-surveillance system in the works seem to be allaying financial …
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U.S. and U.K. Markets Regulators to Co-Operate in a No-Deal Brexit
By Philip Stafford
March 29, 2019, Financial Times
U.K. and U.S. markets regulators have finalized two agreements to co-operate oversight of markets and the fund management industry if Britain leaves …
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SEC’s Clayton: Plan for Volatile Markets if There’s a Hard Brexit
By Francine McKenna
March 11, 2019, MarketWatch
Securities and Exchange Commission Chairman Jay Clayton warned an audience of international bankers in Washington on Monday, “If we have a hard Brexit, …
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Regulators Eye Another Rewrite of Volcker Trading Restrictions
By Andrew Ackerman
March 8, 2019, The Wall Street Journal
What was supposed to be Volcker 2.0—a more industry-friendly version of post-crisis Wall Street trading restrictions—could be replaced with a …
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SEC Scrutinizes Fairness of Stock Exchange Pricing
By John McCrank
March 7, 2019, Reuters
The U.S. Securities and Exchange Commission is investigating whether the multi-tiered pricing system used by stock exchanges favors large brokers at the expense …
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Market and SEC Clash on CAT Progress
By John Crabb
January 24, 2019, Practice Insight from IFLR
Thesys, the capital markets technology firm tasked with building the U.S.’ consolidated audit trail (CAT) has told Practice Insight that …
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Dark trading volumes reach highest level under MiFID II
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Brexit row delays financial products transparency review
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E.U. regulator to build system to catch bond errors worth billions
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Asset managers farm out trading as costs and complexity climb
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SEC says may give firms more time to comply with Europe’s research rules
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Dark trading volumes reach highest level under MiFID II
-
Brexit row delays financial products transparency review
-
E.U. regulator to build system to catch bond errors worth billions
-
Asset managers farm out trading as costs and complexity climb
-
SEC says may give firms more time to comply with Europe’s research rules