Securities and Exchange Commission (SEC)
Letting the CAT Out of the Bag
Thomas Sporkin and Timothy Coley lay out the business and regulatory arguments in favor of implementing the Consolidated Audit Trail in the US.
Notebook: CISOs Talk About Backgrounds, Industry Threats
Dan DeFrancesco puts together some of the best quotations leftover from his feature on the rise of CISOs.
Notebook: CISOs Talk About Backgrounds, Industry Threats
Dan DeFrancesco puts together some of the best quotations leftover from his feature on the rise of CISOs.
Rise of the CISO
CISOs from across the industry talk about how their role has grown in prominence in the capital markets industry.
Information Sharing Among CISOs Key to Firms' Protection
CISOs rely on swapping information about cyber attacks as an integral part of their security programs.
Information Sharing Among CISOs Key to Firms' Protection
CISOs rely on swapping information about cyber attacks as an integral part of their security programs.
New SEC CIO Dyson Pursues Data-Minded Goals, Old and New
Eyeing HFT monitoring, big data initiatives.
Ex-SEC CIO Bayer Resurfaces at S&P's Ratings Services
Bayer stepped down from the SEC in October
SEC Names Pamela Dyson Chief Information Officer
Dyson was previously deputy CIO at the SEC
S&P Pays $1.375Bn to Settle Ratings ‘Fraud' Case
Under settlement, vendor admits giving high ratings to risky RMBS issues.
New SEC Swap Reporting Rules: An Easy Start, Bigger Impact Still to Come
Niche swap dealers will need to create systems for newest SEC rule
FIF's Kimmel Named to SEC Market Structure Committee
The US Securities and Exchange Commission has set up a new Equity Market Structure Advisory Committee, staffed by senior executives from the trading and financial technology industries, including Manisha Kimmel, managing director of market data industry…
New SEC Rules Increase Transparency in Security-Based Swap Market
Reporting rules, guidance on security-based swap transaction proposed
SEC Equity Market Structure Committee Full of Tech Faces
New group formed to tackle growing issues
BATS Settles Direct Edge Case with SEC
Exchange operator pays $14m to regulator over legacy issues.
Nasdaq, BATS Interested in Running Dark Pools for Banks
Both exchanges have been in contact with banks, according to reports
Finra Posts 2015 Regulatory, Exam Priorities Letter; New Audit Trail Team to be Created
Outsourcing, cybersecurity & trading tech areas of interest
The Impact of Reg SCI
Will the SEC's newest reg have a lasting ripple effect
SEC Preps Company Data Downloads
The Securities and Exchange Commission has begun a pilot program to make financial data reported by companies available via the SEC's website for download and analysis by investors and academics.
SEC Data Discrepancies Affect Reference Data
Differences between private and public feeds cause conflicts in historical pricing records
SEC Votes to Strengthen Systems Compliance and Integrity
Regulation Systems Compliance and Integrity requires entities to have a plan for when systems fail.
AxiomSL Unveils New Regulatory Solution for Broker-Dealers
The tool addresses SEC rules 17a-5 and 15c3-1.
Battles Over Data's Value
Debate about privacy and value of retail consumer data illustrates similar issues with financial industry data. Financial services firms and proponents of open standards are seeking ways to break others' grips on valuable data
Opening Cross: Will Cost Concerns Neuter Future Litters of CATs?
Belgian beer-maker Stella Artois’ long-running “Reassuringly Expensive” ad probably didn’t win fans among market data managers, who continue to shudder at the thought of any kind of cost increase.