Securities and Exchange Commission (SEC)
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.
SEC 15b9-1: Shots Across the Bow
Finra registration could push some options HFTs to the brink.
Deutsche Bank Pegged With $55 Million Fine by SEC
The SEC says Deutsche inflated the value of a portfolio of derivatives by $1.5-$3.3 bn.
What's the rush? The CAT is a Waiting Game Worth Playing
Dan DeFrancesco talks about why showing forbearance while waiting for the CAT might be best thing for the industry.
Rethinking Large-Scale Data Management
Will major firms be able to take a page from hedge funds' playbook?
SEC Commissioner Calls for Office of Data Strategy; CAT Still Years Away From Completion
Kara Stein says SEC needs to open an office focused specifically on data.
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