Securities and Exchange Commission (SEC)
NYSE Retiring LRP Ahead of Limit Measures
The New York Stock Exchange has filed a plan to withdraw its Liquidity Replenishment Points program (LRP), a way of halting momentum in volatile stocks, with the US Securities and Exchange Commission (SEC).
Updated: SAC Capital Settlement, Investigation Widens
SAC Capital’s $616 million compounded penalty handed down by the Securities and Exchange Commission (SEC) is an enormous number, but the outcome is both manageable for SAC and, given previous insider investigations, expected. Just the same, other funds…
Nasdaq Economist: Equities' Electronic Opacity Inhibits Confidence, Growth
At TradeTech East this week, Nasdaq OMX chief economist Frank Hatheway offered a blunt assessment of what's needed to pull the global economy back to into “a virtuous cycle of expansion.” Providing a clearer view into electronic equities trading is one…
Fighting Zombies: Valuation Scrutiny Upends Private Equity
Regulators and potential investors have made clear that private equity (PE) firms should draw a line from valuation algorithms to limited partner, or LP, reporting. Technology is the ink.
With White, Better the Outsider?
In her new role as chair of the SEC, Mary Jo White must demonstrate that she's more than a prosecutor, but someone who can also bring stability to the market.
Former US Attorney to Head SEC
President Barack Obama will name Mary Jo White to take the place of Mary Schapiro as the chair of the US Securities and Exchange Commission.
SEC Lines Up Analytics Firepower with Berman Hire
The US Securities and Exchange Commission (SEC) has announced that Gregg E Berman will take up the post of associate director in its Office of Analytics and Research.
Regulators Cite 'Critical Deficiencies' in JPMorgan Monitoring, Reporting, Risk Controls
JPMorgan Chase has been sanctioned by US regulators eight months after an outsized credit default swap led to trading losses of $6.2 billion.
Khuzami Quits as SEC's Top Cop
The US Securities and Exchange Commission (SEC) announced last night that Robert Khuzami, its director of enforcement, would be leaving the regulator after nearly four years of service.
BATS Document Suggests LULD Delay
A timetable for the implementation of limit-up limit-down (LULD) measures, a form of market circuit breakers in the event of wild price swings, has been published by BATS, suggesting that the enactment date of February will be postponed to April.
2013 Offers Both Familiar and Fresh Challenges
As the recycling is put out for collection, credit card bills from Christmas cause mild bouts of nausea and everyone begins to get back into their daily routines, let's take a look ahead to what's going to be important in 2013.
The Best of the Sell Side in 2012
The pick of Waters' sell-side coverage from the past year.
SEC Loses Chief of Staff in Latest Departure
The US Securities and Exchange Commission (SEC) has announced the resignation of its chief of staff, Didem Nisanci, in the latest of a series of losses that has claimed some of its most senior figures.
Sifma LEI Live: Regulatory Adoption
Inside Reference Data editor Michael Shashoua tweeted live from Sifma's Legal Entity Identifier seminar on December 11 in New York
Two More Quit in SEC Exodus
The US Securities and Exchange Commission announced last night that two more senior officials would be leaving the regulator.
SEC's Lewis: Regulator Rapidly Catching Up With Analytics
The US Securities and Exchange Commission (SEC) is becoming more technology-aware, according to Craig Lewis, director and chief economist for the SEC’s risk, strategy, and financial innovation division.
Direct Edge Adds Pre-Trade Risk Controls
Direct Edge has added EdgeRisk Controls, a pre-trade risk tool for its EDGA and EDGX Exchanges, which facilitates compliance with the US Securities and Exchange (SEC) Market Access Rule 15(c)3-5 for broker-dealers and their clients.
SEC Appoints IT Division CIO
The US Securities and Exchange Commission (SEC) has announced that Todd Scharf will take on the role of CIO in its Office of Information Technology.
Schapiro Announces SEC Depature
Mary Schapiro, the chair of the US Securities and Exchange Commission (SEC) has announced that she will leave her role at the head of the US regulator on December 14.
SEC Promotes Dyson to Deputy CIO
Pamela Dyson has been with the agency since late 2010.