Securities and Exchange Commission (SEC)

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.

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

CTA, UTP Revisit Consolidated Tape Fees

The Consolidated Tape Association (CTA) and the Unlisted Trading Privileges (UTP) Plan, which together oversee the collection and distribution of the consolidated tapes of quote and trade data for US equity markets, have proposed new fee policies for the…

Exchanges, FINRA Inch Closer to CAT Plan

US self-regulatory organizations including the US exchanges and regulator FINRA are preparing to narrow down the list of candidates for the role of processor of the US consolidated audit trail (CAT), which will capture all trades, quotes, cancellations…

Blaszkowsky Joins State Street

David Blaszkowsky, a data regulation executive at the Office of Financial Research and the US Securities and Exchange Commission in recent years, has been hired as a senior vice president of data governance at State Street

US Accountability Body Criticizes SEC Infosec Approach

The US Government Accountability Office (GAO) has released a critical report on information security practices at the Securities and Exchange Commission (SEC), finding that basic security measures are not taken by the regulator and that it must improve.

Consolidated Audit Trail Gets New Push

Bidding to become the processor of consolidated audit trail has just closed, leading into a process of choices and approvals by the SEC and self-regulatory organizations likely to last into 2015 and beyond

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