SEC
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Potential Priorities for Wall Street’s Next Top Cop
By Andrew Ross Sorkin, Jason Karaian, Michael J. de la Merced, Lauren Hirsch, and Ephrat Livni
January 13, 2021, The New York Times
The Biden administration is set to tap …
MSRB Told to Stay in Its Lane and Focus on Its Rulebook
By Sarah Wynn
January 12, 2021, The Bond Buyer
Municipal market participants want the Municipal Securities Rulemaking Board to focus more on its role as a regulator and refrain from …
FINRA Asks Participants How to Improve US Treasury Securities TRACE Reporting
By Annabel Smith
January 7, 2021, The Trade
The Financial Industry Regulatory Authority (FINRA) has requested comments from market participants on ways to improve data collection for its trade reporting …
Outlook 2021: SEC to Focus on Price Transparency, Muni Advisors and Disclosure Enforcement
By Sarah Wynn
January 4, 2021, The Bond Buyer
The Securities and Exchange Commission’s enforcement activity will have a strong focus on issuer disclosure, municipal advisors, and pay-to-play practices in …
Financial Stability Oversight Council Is Missing an Opportunity to Enhance Preparedness and Response to Financial Stability Risks
By Mayra Rodriguez Valladares, MRV Associates
Originally published in Forbes
In analyzing the leveraged lending and Collateralized Loan Obligation (CLO) markets, the U.S. Government Accountability Office found there are more …
US Derivatives Rule: Three Things to Know
Originally published on Citi Securities Services Insights
Here are some of the key things that asset managers should know about the SEC Derivatives Rule.
On 28 October, the Securities and …
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SEC’s Market Data Infrastructure Rule Not Easily Said or Done
By Joanna Wright
December 22, 2020, WatersTechnology
The market data infrastructure rule finalized by US regulators this month will bring major changes to the National Market System if it is …
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US takes cross-agency approach to new swap dealer rules
By Wendy Lisney
December 21, 2020, Global Investor Group
The Securities and Exchange Commission is bringing together a number of divisions and offices to regulate security-based swaps in preparation for …
SEC eases path to swap dealer registration
By Wendy Lisney
December 17, 2020, Global Investor Group
A new US rule on security-based swaps will reduce the exposure of certain facilities and dealers to overlapping regulations, helping to …
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Top 10 On The Regs Takeaways 2020
By Adrian Whelan, Brown Brothers Harriman
Read More →Originally published at the On the Regs blog
At the outset of 2020, I suggested that it would be a year defined by clarity …