SEC
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SEC Votes to Propose Stricter Broker Standards
By Dave Michaels
April 18, 2018, The Wall Street Journal
Stockbrokers would face tighter restraints on conflicts that can bias investment advice to customers, under a rule proposed Wednesday by …
Read More →Where the SEC Access Fee Pilot Could Go Wrong
Access fees and rebates have been a primary point of contention in the equities market structure debate for years, and the SEC’s recently announced access fee pilot will have wide-ranging …
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Curtains for Experiment Meant to Boost Trading in Small Stocks
By Dave Michaels
April 10, 2018, The Wall Street Journal
A stock-market experiment designed to make small stocks more attractive to investors hasn’t yielded the silver bullet its supporters had …
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Big Bond Trades Would Stay Secret Under Proposal
By Dave Michaels
April 9, 2018, The Wall Street Journal
Wall Street could get the green light to hold back some information from the public about large bond trades under …
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Fund Industry Defends Bond ETFs to U.S. Regulators
By Trevor Hunnicutt
April 9, 2018, Reuters
A fund industry trade group representative on Monday disputed the idea that bond exchange traded funds (ETFs) might fail to hold up under …
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Asset Managers Back U.S. Plan to Limit Stock Exchange Rebates
By John McCrank
April 9, 2018, Reuters
Financial firms representing more than $1 trillion in assets under management have endorsed a U.S. regulator’s plan to test limiting the rebates and …
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Quarterly Update: Q2 2018
By bbhblogs
Originally published at the On the Regs blog
We highlight what to expect this quarter and recap Q1 2018’s key regulatory developments.
FinReg’s Q2 Game Changers:
- The countdown
Market Structure Weekly with Larry Tabb, April 6, 2018
Markets already roiled by President Donald Trump’s tough talk on trade with China also are watching the threat of rising interest rates, reports Tabb Group founder and research chairman Larry …
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Fiduciary Rule Appeal Risks Return to the Law of the Jungle
By Attracta Mooney
March 31, 2018, Financial Times
Last Week Tonight, the news satire TV show presented by John Oliver, issued a stark piece of financial advice to US …
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Living in the Laboratory: Understanding the SEC’s Transaction Fee Pilot
By George Bollenbacher, Capital Markets Advisors
Originally published on the TabbFORUM
What has become clear is that almost nothing is clear about how fees and rebates impact both execution decision-making …
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