Tag: Securities and Exchange Commission (SEC)
SEC – controversially – moves to standardise best execution rules for...
The Securities and Exchange Commission (SEC) is proposing new rules under the Securities Exchange Act of 1934 relating to a broker-dealer’s duty of best...
LGIM saves US clients’ trading costs but pays US$500k fine for...
Legal and General Investment Management Americas (LGIMA) has accepted a fine of US$500,000 for failing to comply with Securities and Exchange Commission (SEC) rules...
Unlocking Liquidity for the U.S. Treasury Markets
Unlocking Liquidity for the U.S. Treasury Markets
By MarketAxess | 22 November 2022
Advocating for all-to-all trading has always been the MarketAxess way, but lately, it...
‘Whatsapp’ fines for banks hit US$1.8 billion
US market regulators have collectively fined 15 broker-dealers, one affiliated investment adviser, plus the swap dealer and futures commission merchant (FCM) affiliates of 11...
Bloomberg forces SEC to provide cost analysis of primary issuance database
Bloomberg has had its case for the US Securities and Exchange Commission (SEC), to provide an analysis of the costs for a primary bond...
Bloomberg warns on SEC extending exchange rules into bond market communication...
In a letter penned by Bloomberg’s Gregory Babyak, global head of regulatory Affairs and Gary Stone regulatory analyst and market structure strategist, the market...
SEC proposes regulation of high-frequency trading firms in US Treasury market
US market regulator, the Securities and Exchange Commission (SEC), has proposed regulation of high-frequency trading (HFT) firms, also referred to as proprietary trading firms...
SEC warns on counterparty risk in volatile markets
Staff of the Security and Exchange Commission (SEC) division of trading and markets have urged broker-dealers and other market participants to remain vigilant to...
SEC’s issuer proposal on cyber security risk ‘a step further than...
US market regulator, the Securities and Exchange Commission (SEC), has proposed amendments to its rules to enhance and standardise disclosures regarding cybersecurity risk management,...
Reg ATS: What does the proposed expansion mean for bond trading...
In late January the Securities and Exchange Commission (SEC) proposed rules to bring more Alternative Trading Systems (ATS) that trade Treasuries and other government...
