Securities and Exchange Commission (SEC)
Steps Closer to Functioning Oversight
The CFTC has begun staffing up, after a long period of thinning leadership.
US Senator Urges Greater Reg SCI Transparency from SEC
Ranking member of Senate subcommittee says regulator should update list of affected firms
Neptune Adds Rabobank and TD Securities as Latest Dealers
Trading network adds banks to bring total dealer members to 24.
The More Things Change
Regulators may be about to call the industry's bluff on Mifid II time pressures
Frontier Finance: Shaky Foundations Hinder Digital Currencies
Digital currencies are going through birth pains as an asset class, but some believe they can become the next commodity of choice for traders
SEC Extends Reach to Digital Currencies
US regulator makes strongest move yet toward overseeing finance’s Wild West
Bitcoin Braces for a Blockchain Split
Bitcoin could diverge into two different versions of the same currency on August 1, creating further issues for institutional involvement.
SEC Integrates AI and Machine Learning for Risk Assessment
The regulator began using machine learning after the 2008 financial crisis and is working on creating more machine-readable documents.
Donnelly Financial, ICE Data Services Ally for Fund Filing Tool
ICE Data Services' reference data, taxonomies and evaluated prices will be key to fund firms correctly filing N-Port forms under next year's regulation.
Slowdown Showdown: Exchanges Eye 'Flash Boys' Speed Bumps
Exchanges that objected to IEX becoming an exchange are now planning to introduce their own IEX-style "speed bumps."
Thesys Moves Forward with CAT, Signs Contract with SROs
According to regulatory filings, the CAT will cost the industry $50.7 million for the fiscal year beginning November 2016.
Slowdown Showdown: Exchanges Eye Speed Bumps
Three exchanges have filed with the SEC regarding implementing either a delay mechanism or order types similar to what IEX operates, following its approval as a national exchange less than a year ago.
April 2017: The Regulation–Data Vicious Circle
Many data management initiatives are inspired by efficiency and best practices, but only become reality after regulatory involvement.
CAT Constructor: Why Thesys Won, Finra Lost and What Comes Next
On January 17, the self-regulatory organizations announced that Thesys Technologies had won the right to build the Consolidated Audit Trail, putting it in charge of what will be one of the biggest financial technology projects in the history of the…
Atlantic Fund Services Taps Confluence for Form N-Port, Form N-CEN Reporting
Fund administrator will also use the vendor's Unity Prospectus product.
System Down: What Is Reg SCI's Future?
The future of some regulations are in question, Reg SCI just might be one of the casualties.
SEC's First-Ever COO to Leave Regulator in February
Jeffery Heslop was named the SEC's COO in 2010.
CAT Selection Shows Industry's Interest in Change
Thesys choice upsets the status quo.
Thesys Selected by SROs to Build Massive Audit Trail
Vendor selected from 31 bidders to build, implement and maintain the Consolidated Audit Trail.
Decision to be Made on CAT Plan Processor Soon, Sources Say
The announcement of which firm will be responsible for building the massive audit trail could come as soon as tomorrow.
The Death Knell Sounds for Reg AT's Source-Code Provision
With chairman Massad leaving the CFTC and commissioner Giancarlo likely to have a greater say, the source-code provision may be in trouble...if not the rule as a whole.
MIAX Preps Complex Order Market Data Products
The announcement follows MIAX's recent approval to list complex order products on its exchange.
Fintechs Firms May Soon Get Bank Charters
But for the moment, fintechs in the capital markets space will not be covered.
CAT Needed Now More Than Ever
The Consolidated Audit Trail is exactly what the industry needs right now.