Securities and Exchange Commission (SEC)
SEC Publishes NMS Plan for CAT, Seeks Public Comment
Regulators have six months to approve or deny the plan for the consolidated audit trail.
SEC Combats Errors with Registration Fee Estimator
Regulator wants to continue adding more form types, such as 24F-2NT, the S-8 and the SF-3.
SEC Launches Online Tool for Calculating Registration Fees
The Registration Fee Estimator aims to help filers estimate filing fees and offer guidance on completing the related fee tables.
Reg AT: A Source (Code) of Contention
Regulation Automated Trading was created to protect market integrity and update the CFTC’s rules as algorithmic trading proliferates. There are many areas where there’s consensus agreement as to the benefits of this proposed regulation, but Anthony…
TradeTheNews Bows 13F Filings Wire
The service follows investment firms' 13F filings that detail their holdings in stocks.
Waters Wavelength Podcast Episode 3: Dark Pools, SEC, Enterprise Risk
Dan and Anthony discuss the recent fines levied against dark pools and enterprise risk analytics.
Super Bowl Commercials for the Capital Markets
Lining up some of the best Super Bowl commercials with the biggest topics and trends in the industry.
Barclays Fined $70M For Dark Pool, Market Data Violations
The bank misrepresented its NBBO calculations
Nasdaq Launches Options Trading Kill Switches in Wake of Data Outages
The switch will halt trading during emergencies such as market data outages
Dan DeFrancesco: Don’t Be Afraid of Your Own Shadow
Looking at the pros and cons of multiple in-house IT teams.
Won't Back Down: SEC CIO Pamela Dyson
Dyson discusses the lessons learned after working nearly three decades in the federal government.
Anticipating T+2, SEC Approves Bloomberg's Trade Confirmation Alternative
CMS for equities, fixed income will provide second option to DTCC.
Outsourced CCOs, Back Under the Microscope
A recent dispatch from the SEC's OCIE highlighted concerns about the rise of outsourced compliance chiefs.
Data Security, Reporting Augmentation Still Pivotal Issues for CAT
Representatives from four bidders for the Consolidated Audit Trail (CAT) spoke at the TabbForum MarketTech 2015 conference about potential issues they see involving the building of the CAT.
Next Steps For the LEI
Growing LEI issuance has improved reporting, but what comes next?
SEC Appoints Ramarathnam to Credit Ratings Watchdog
Ramarathnam, a 10-year SEC staffer, will take up her new role later this month.
Miscommunication: Bloomberg, Symphony and the Messaging Fight
Anthony Malakian speaks with industry participants to see how the messaging space has evolved and whether Symphony-or Bloomberg-have cause for concern.
Social Alpha Targets Banks Following Innovation Lab Program
The vendor is expanding its customer base beyond hedge funds to investment banks
ITG Replaces CEO Gasser with Lilien, Discusses SEC Settlement
Jarrett Lilien, a member of the ITG board, will serve as interim CEO.
BATS Files for Client Suspension Rules to Tackle Manipulative Market Behaviors
Expedited authority to cut manipulative behaviors “within weeks” awaiting SEC approval.
Fair Value to the Fore
Alternatives to securities pricing needed as Athens stock market remains closed
SEC Taps Kx Systems for Data Analysis
The database will help the SEC analyze large amounts of data.
SEC Updates XBRL Filings Tool
Upgraded version will be faster and easier to use, SEC officials say.
SEC Proposed Rule to Modernize, Extend Systemic Risk Reporting for Mutual Funds
Two new forms, Form N-Port and N-Cen, are at the heart of a new set of rules proposed by the SEC.