SEC
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Delayed Disclosure of Biggest Corporate Bond Trades Stalls
By Benjamin Bain
January 22, 2020, Bloomberg
U.S. regulators have halted a plan to test whether delayed disclosure of corporate bond trades would boost market liquidity after a powerful group …
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SEC Commissioner Jackson leaving in February
By Hazel Bradford
January 16, 2020, Pensions&Investments
Robert Jackson Jr., the senior Democrat on the Securities and Exchange Commission, announced Thursday that he is leaving Feb. 14.
“I will always …
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E.U. Commission’s MiFID II review delay caused by survey issues
By Hugo Bromley
January 16, 2020, Practice Insight from IFLR
A major review of MiFID II that was initially due in September 2019 but has still not been published was …
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Calls mount for real-time data tape in the bond markets
By Samuel Agini
January 10, 2020, Financial News
An influential lobby group representing almost 600 banks and asset managers has urged the creation of a tape of record for bond …
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FINRA outlines questions firms must answer on Reg BI compliance
By Mark Schoeff Jr.
January 9, 2020, InvestmentNews
FINRA gave its member brokerage firms a spoiler alert on Thursday regarding the implementation of investment advice reform this summer.
In its …
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SEC Preps Shakeup of U.S. Consolidated Tapes
By Emilia David and Max Bowie
January 9, 2020, WatersTechnology
The Securities and Exchange Commission (SEC) has proposed drastic changes to how the U.S. consolidated tapes of market data from …
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SEC Democratic Commissioner Slams CAT Delays
By Joanna Wright
January 8, 2020, Waters Technology
On Wednesday, the Securities and Exchange Commission’s Robert Jackson slammed the lack of progress in building the Consolidated Audit Tape (CAT) as …
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Regulators Seek to Loosen U.S. Exchanges’ Control Over Stock Data
By Paul Kiernan and Alexander Osipovich
January 8, 2020, The Wall Street Journal
Regulators are taking steps to loosen the control that big U.S. exchanges exert over the flow of …
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SEC gives nod to Phase II of OCC safeguards
By Oliver Wade
January 7, 2020, Global Investor Group
The U.S. Securities and Exchange Commission (SEC) has given the green light to the Options Clearing Corporation’s (OCC) second phase of …
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What Finreg Has in Store for Q1 2020
By bbhblogs
Originally published at the On the Regs blog
We highlight what to expect this quarter and recap Q4’s key regulatory developments.
What could change the game in Q1:…
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