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News

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 …

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News

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 …

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News

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 …

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Comments

Top 10 On The Regs Takeaways 2020

By Adrian Whelan, Brown Brothers Harriman
Originally published at the On the Regs blog


At the outset of 2020, I suggested that it would be a year defined by clarity …

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News

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 …

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Comments

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 …

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Comments

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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News

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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News

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 …

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News

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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  • EU to Drill Into “Dog’s Dinner” of Share Trading Data

  • Trading Heads Call for Reform of Double Volume Caps

  • Reflecting on Attempts at MiFID II Reform

  • UK Offers Unlimited Dark Trading on Lost EU Stocks

  • Brexit Allows UK to Reform MiFID to Boost Advice Sector

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  • EU to Drill Into “Dog’s Dinner” of Share Trading Data

  • Trading Heads Call for Reform of Double Volume Caps

  • Reflecting on Attempts at MiFID II Reform

  • UK Offers Unlimited Dark Trading on Lost EU Stocks

  • Brexit Allows UK to Reform MiFID to Boost Advice Sector

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