SEC
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US regulators join forces on “bad actors” pilot
By Wendy Lisney
October 26, 2020, Global Investor Group
The Commodity Futures Commission (CFTC) has set up a one-year pilot program with the Securities and Exchange Commission (SEC) on the …
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Wide array of industry groups seeks collaboration, not regulation
By Sarah Wynn
October 23, 2020, The Bond Buyer
A wide array of muni market leaders are hopeful that their efforts will inspire more disclosure without a need for strict …
SEC Committee Tackles Disorderly Electronic Bond Trade Reporting
By Matt Wirz
October 7, 2020, The Wall Street Journal
“Transparency and investor confidence are essential to efficient markets, and considered regulation of fast-growing electronic protocols and platforms makes a …
U.S. SEC official says closely watching exchange spat with New Jersey
By John McCrank
October 7, 2020, Reuters
The U.S. Securities and Exchange Commission is closely watching a plan being considered by U.S. stock exchanges to move their main electronic trading …
More unknowns to come for issuers, FIMSAC members say
By Sarah Wynn
October 5, 2020, The Bond Buyer
State and local governments will have to deal with many unknowns as 2020 wraps up, and figure out how to disclose …
Red Hot: Top Three ESG Issues
By Brown Brothers Harriman
Originally published at the On the Regs blog
The profound focus on ESG and sustainability continues to intensify across global asset management. Brown Brothers Harriman & …
Money market turmoil in March shows past reforms may be insufficient – U.S. Treasury official
By David Lawer and Ross Kerber
September 29, 2020, Reuters
Turmoil in money market mutual funds sparked by the coronavirus pandemic shows that decade-old reforms to the $4.4 trillion industry …
U.S. SEC proposes new rules to alleviate electronic trading risk to fixed-income market
By Katanga Johnson and John McCrank
September 28, 2020, Reuters
The U.S. Securities and Exchange Commission on Monday proposed new rules for electronic trading platforms for U.S. Treasuries, corporate debt …
Market Data: Under the Microscope
By Adrian Whelan, Brown Brothers Harriman
Originally published at the On the Regs blog
With access to market data more central to the asset management business than ever before, the …
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What FinReg has in Store for Q4 2020
By Brown Brothers Harriman
Originally published at the On the Regs blog
We highlight what to expect this quarter and recap Q3’s key regulatory developments.
What could change the game …
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