SEC
Some stories require a subscription to access the full source article.
Global regulators vow to address ‘manufactured defaults’
By Joe Rennison
June 24, 2019, Financial Times
Global regulators stepped up their condemnation of intentional defaults by companies aimed at triggering payouts on credit default swaps on Monday, announcing …
Read More →
Access Fee Pilot May Lose Direction When New Exchanges Appear
By Kelvin To, Data Boiler Technologies, LLC
Originally published on the TABB FORUM
The launch of MEMX and other new stock exchanges may disrupt the SEC’s plan to adopt an …
Read More →
U.S. markets regulators reach deal on Dodd-Frank swaps capital rules
By Michelle Price and Katanga Johnson
June 21, 2019, Reuters
U.S. markets regulators on Friday unveiled an agreement on how much capital and margin firms must hold when trading swaps …
Read More →
SEC Broker Rule ‘Right Thing to Do,’ SIFMA CEO Says
SIFMA President and Chief Executive Officer Ken Bentsen discusses the proposed adoption of conflict-of-interest rules for brokers by the U.S. Securities and Exchange Commission. He speaks on “Bloomberg Markets.”…
Read More →
SEC Chair: Crypto should be regulated differently than stocks and bonds
SEC Chairman Jay Clayton joins “Squawk Box” to discuss where the SEC stands on cryptocurrency regulation.…
Read More →
SEC Chair Jay Clayton on the new rules for financial advisors
The Securities and Exchange Commission voted to approve new rules that call for brokers to act in the best interest of their clients when advising them on investments. The decision …
Read More →
High Speed Traders Back Exchanges in Fight With SEC Over Rebates Plan
By Alexander Osipovich
June 14, 2019, The Wall Street Journal
Three big high speed trading firms asked a federal court to halt a Securities and Exchange Commission initiative that would …
Read More →
Legislators and Regulators Should Ask These Questions About Leveraged Lending and CLOs
By Mayra Rodriguez Valladares, MRV Associates
Originally published in Forbes
Back in October 2014, veteran Bloomberg journalist Craig Torres called me to speak about bank regulatory leveraged lending guidance. The …
Read More →
Citadel Squares Off With PIMCO Over 48-Hour Bond Reporting Delay
By Benjamin Bain
June 13, 2019, Bloomberg
A fight is brewing between financial industry heavyweights with Citadel urging regulators to scrap a proposed review of whether the disclosure of big …
Read More →-
MiFID II: small U.S. asset managers struggle with research unbundling costs
-
Rising costs and lower returns hit U.S. and European fund houses
-
MiFID adds 20 minutes to client meetings
-
SEC Points Toward Market Solutions in the U.S. to Resolve MIFID II Conflict
-
ESMA’s Final Verdict: Europe’s Periodic Auctions Breathe Sigh of Relief
-
MiFID II: small U.S. asset managers struggle with research unbundling costs
-
Rising costs and lower returns hit U.S. and European fund houses
-
MiFID adds 20 minutes to client meetings
-
SEC Points Toward Market Solutions in the U.S. to Resolve MIFID II Conflict
-
ESMA’s Final Verdict: Europe’s Periodic Auctions Breathe Sigh of Relief
SEC Points Toward Market Solutions in the U.S. to Resolve MIFID II Conflict
By Amrish Ganatra, Commcise Software Limited
Originally published by Integrity Research Associates and on the TABB FORUM
With the SEC actively reviewing whether to allow its MIFID II-oriented no-action letter …
Read More →