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Fidelity, T. Rowe Win Preliminary OK on New Stock Picking ETFs
By Justin Baer and Dawn Lim
November 14, 2019, The Wall Street Journal
Fidelity Investments and T. Rowe Price Group Inc. were among the firms that won preliminary regulatory approval …
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Top Down, Bottom Up: The Topsy-Turvy World of Fund Liquidity
By Melissa McDonough, Brown Brothers Harriman
Originally published at the On the Regs blog
Regulators on both sides of the Atlantic are tightening liquidity rules for investment funds with the …
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Homespun Firms Challenge Wall Street’s Muni Bond Supremacy
By Heather Gillers
November 13, 2019, The Wall Street Journal
Wall Street’s longstanding hold on the $4 trillion municipal-bond market faces a challenge from an onslaught of small, independent firms …
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Add-backs’ stoke fears of distorted credit ratings
By Joe Rennison
November 8, 2019, Financial Times
In the middle of the boom in leveraged loans last year, ratings agency S&P Global forecast a bright future for 24 Hour …
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Industry has lost interest in MiFID II
By Hugo Bromley
November 6, 2019, Practice Insight from IFLR
After two years of fervor over the implementation of MiFID II, interest has now begun to decline across the industry …
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SEC calls out conflicts of interest in TDFs
By Greg Iacurci
November 7, 2019, InvestmentNews
The Securities and Exchange Commission took aim at conflicts of interest in target-date funds on Thursday, calling out a fund structure that holds …
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SEC chair questions like-for-like SOFR mapping
By Sharon Thiruchelvam
November 5, 2019, Global Investor Group
The Securities Exchange Commission (SEC) chair Jay Clayton has cast doubt on the potential for SOFR to definitively replace Libor, saying …
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SEC Assesses Treasury Transparency and Integrity
By Rob Daly
November 5, 2019, Markets Media
The electronically traded U.S. Treasury market might be inching closer towards the cash equities markets regarding operational transparency and system integrity oversight …
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SEC grants three-year extension to MiFID II relief period
By Hayley McDowell
November 5, 2019, The Trade
U.S. brokers will be able to continue charging clients separately for research and analysis, as implemented under MiFID II in Europe, for …
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Libor Transition Hung Up on Sticky Issues
By George Bollenbacher, TABB Group
Originally published on the TABB Forum
As we move through the fourth quarter of 2019, the urgency of regulatory warnings regarding the IBOR replacement process …
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