SEC
Some stories require a subscription to access the full source article.
SEC Mulls Rule 605 Reform
By Rob Daly
September 19, 2019, Markets Media
U.S. Securities and Exchange Commissioner Elad Roisman stirred the market-structure pot by floating potential reforms to the regulator’s best execution requirement at …
Read More →
CFTC Revises Volcker Rule
By Rob Daly
September 16, 2019, Markets Media
Chairing his first open meeting of the U.S. Commodity Futures Trading Commission, Chairman Heath Tarbert announced that the regulator had already amended …
Read More →
For biggest U.S. banks, Volcker Rule rewrite a ‘shoulder shrug,’ experts say
By Zain Tariq, David Hood, and Harry Terris
September 6, 2019, S&P Global Market Intelligence
While revisions to the Volcker Rule are viewed by banks as a step in the …
Read More →
SEC’s Jay Clayton Eyes Corporate Bond Market
By Rob Daly
September 9, 2019, Markets Media
Securities and Exchange Commission Chairman Jay Clayton is turning a sharper eye towards the growing U.S. corporate debt market and what impacts …
Read More →
SEC Pressures Exchanges on Long-Delayed Market Surveillance Project
By Alexander Osipovich
September 9, 2019, The Wall Street Journal
The Securities and Exchange Commission is stepping up pressure on exchanges to finish a huge, long-delayed database designed to help …
Read More →
Research unbundling crosses the Atlantic as U.S. asset managers embrace change
By John Brazier
September 6, 2019, The Trade
Research unbundling under MiFID II is becoming increasingly popular among large U.S. equities asset managers, according to a new report from consultancy …
Read More →
SEC Delays Rule 606, Again
September 5, 2019, Markets Media
The U.S. Securities and Exchange Commission is giving a bit more time for broker-dealers to comply with new rules that mandate more transparency in trade …
Read More →
SIFMA urges SEC to press pause on disclosure proposals
By Kyle Glazier
September 3, 2019, The Bond Buyer
A group representing many large underwriters wants the Securities and Exchange Commission to rethink the Municipal Securities Rulemaking Board’s decision not …
Read More →
MiFID II in the U.S.: firms explore research unbundling options
By John Crabb
August 29, 2019, Practice Insight from IFLR
U.S. market participants are unsure about local regulators’ position on a key piece of E.U. financial market legislation.
The no-action …
Read More →
MSRB gears up to review rules under SEC’s best interest standard
By Sarah Wynn
August 21, 2019, The Bond Buyer
The Municipal Securities Rulemaking Board is planning a “deep dive” to explore how a recently approved Securities and Exchange Commission rule …
Read More →-
FCA finds research unbundling has saved equity investors £70 million under MiFID II
-
Managers hoping regulators tackle problems with MiFID II
-
WFE warns ESMA of “irreparable damage” of market data price controls
-
Europe’s fragmented equity markets need a tape of record
-
ETF Insight: Consolidated tape crucial to next stage of ETF growth in Europe
-
FCA finds research unbundling has saved equity investors £70 million under MiFID II
-
Managers hoping regulators tackle problems with MiFID II
-
WFE warns ESMA of “irreparable damage” of market data price controls
-
Europe’s fragmented equity markets need a tape of record
-
ETF Insight: Consolidated tape crucial to next stage of ETF growth in Europe