SEC approves tick size pilot to assess impact on smaller companies
On May 6, 2015, the Securities and Exchange Commission (SEC) approved a joint plan to be entered into by the Financial Industry Regulatory Authority (FINRA) and the US exchanges for implementing a...
View ArticleSEC’s Equity Market Structure Advisory Committee to address trade-through rule
The Equity Market Structure Advisory Committee of the Securities and Exchange Commission (SEC) will be holding its first meeting starting at 9:30 am Eastern Time on May 13, 2015 to discuss the impact...
View ArticleFSOC Annual Report highlights cybersecurity, changes in market structure and...
The Fifth Annual Report issued May 19, 2015, by the Financial Stability Oversight Council (FSOC), established under the Dodd-Frank Wall Street Reform and Consumer Protection Act to oversee risks to the...
View ArticleFSOC Annual Report highlights systemic risks to financial activities and...
The May 19, 2015 Fifth Annual Report, issued by the Financial Stability Oversight Council (FSOC), established under the Dodd-Frank Wall Street Reform and Consumer Protection Act to oversee risks to the...
View ArticleFSOC Annual Report highlights both progress and continued systemic risks
On May 19, 2015, the Financial Stability Oversight Council (FSOC), established under the Dodd-Frank Wall Street Reform and Consumer Protection Act to oversee risks to the U.S. financial system, issued...
View ArticleLeap Second is Coming June 30!
On June 30, 2015, the world will once again experience a “leap second,” where one second is added to the clock. As a result, there will actually be civilian clocks reading 23:59:60 on that day. (Leap...
View ArticleCFTC proposes rules on automated trading
The CFTC has proposed a set of rules, referred to collectively as proposed Regulation AT, that would, for the first time, impose risk control and other requirements governing algorithmic trading...
View ArticleSEC seeks comments on consolidated audit trail proposal
The SEC voted to publish for comment a proposal to create a single database that would allow regulators to track trading activity in the U.S. equity and options markets, referred to as a consolidated...
View ArticleSEC Examination Priorities for 2017
The staff of the SEC’s Office of Compliance Inspections and Examinations has announced its 2017 examination priorities. In 2017, the SEC will focus on: *Retail Investors—Protecting retail investors...
View ArticleD.C. Circuit Vacates Revisions to PJM Minimum Offer Price Rule: Finds FERC...
In a decision issued on July 7, 2017, the U.S. Court of Appeals for the D.C. Circuit vacated revisions to the PJM Interconnection, L.L.C. (“PJM”) Minimum Offer Price Rule (“MOPR”) that had been...
View ArticleSEC provides some relief in connection with MiFID II research payment...
Europe’s revised Markets in Financial Instruments Directive (MiFID II), effective January 3, 2018, makes a number of important regulatory changes concerning the delivery of financial services and...
View ArticleSEC’s Equity Market Structure Advisory Committee to address trade-through rule
The Equity Market Structure Advisory Committee of the Securities and Exchange Commission (SEC) will be holding its first meeting starting at 9:30 am Eastern Time on May 13, 2015 to discuss the impact...
View ArticleFSOC Annual Report highlights cybersecurity, changes in market structure and...
The Fifth Annual Report issued May 19, 2015, by the Financial Stability Oversight Council (FSOC), established under the Dodd-Frank Wall Street Reform and Consumer Protection Act to oversee risks to the...
View ArticleFSOC Annual Report highlights systemic risks to financial activities and...
The May 19, 2015 Fifth Annual Report, issued by the Financial Stability Oversight Council (FSOC), established under the Dodd-Frank Wall Street Reform and Consumer Protection Act to oversee risks to the...
View ArticleFSOC Annual Report highlights both progress and continued systemic risks
On May 19, 2015, the Financial Stability Oversight Council (FSOC), established under the Dodd-Frank Wall Street Reform and Consumer Protection Act to oversee risks to the U.S. financial system, issued...
View ArticleLeap Second is Coming June 30!
On June 30, 2015, the world will once again experience a “leap second,” where one second is added to the clock. As a result, there will actually be civilian clocks reading 23:59:60 on that day. (Leap...
View ArticleCFTC proposes rules on automated trading
The CFTC has proposed a set of rules, referred to collectively as proposed Regulation AT, that would, for the first time, impose risk control and other requirements governing algorithmic trading...
View ArticleSEC seeks comments on consolidated audit trail proposal
The SEC voted to publish for comment a proposal to create a single database that would allow regulators to track trading activity in the U.S. equity and options markets, referred to as a consolidated...
View ArticleSEC Examination Priorities for 2017
The staff of the SEC’s Office of Compliance Inspections and Examinations has announced its 2017 examination priorities. In 2017, the SEC will focus on: *Retail Investors—Protecting retail investors...
View ArticleD.C. Circuit Vacates Revisions to PJM Minimum Offer Price Rule: Finds FERC...
In a decision issued on July 7, 2017, the U.S. Court of Appeals for the D.C. Circuit vacated revisions to the PJM Interconnection, L.L.C. (“PJM”) Minimum Offer Price Rule (“MOPR”) that had been...
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