Tag: Securities and Exchange Commission (SEC)
SEC committee proposes TRACE block trading delay
The Securities and Exchange Commission (SEC) Fixed Income Market Structure Advisory committee met on 9 April 2018 to discuss a proposed pilot for a...
SEC Fixed Income Committee: Debate on liquidity metrics
By Flora McFarlane.
The often narrow focus of liquidity metrics in research was raised as a concern by the first meeting of the Security and...
Potential SEC pilot programmes explored by new bond committee
The Securities and Exchange Commission’s Fixed Income Market Structure Advisory Committee (FIMSAC) explored the possibility of prescriptive intervention to accelerate bond market structure and...
New SEC Fixed Income Committee to cover liquidity issues this week
By Flora McFarlane.
The Securities and Exchange Commission (SEC)’s Fixed Income Market Structure Advisory Committee, formed in November 2017, will hold its first meeting on...
US unbundling does not impose fiduciary execution rules on dealers
By Flora McFarlane.
US banks are able to unbundle trade execution and research payments without incurring fiduciary responsibility for trade execution. Following a lengthy process...
SEC forms Fixed Income Market Structure Advisory Committee
By Flora McFarlane.
The Securities and Exchange Commission (SEC) has announced the formation and first members of its Fixed Income Market Structure Advisory Committee.
The committee,...
SEC finds market liquidity minimally impacted by regulatory reforms
By Flora McFarlane.
A paper by the Division of Economic and Risk Analysis (DERA) of the US Securities and Exchange Commission (SEC) has found that...
What the regulators don’t know about spoofing
At least 5% of treasuries volume is self-trading yet the legality of these trades is unchecked. Dan Barnes, reports.
Self-trading is defined as a transaction in...
