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The Gensler Agenda

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Will Gary Gensler, chair of the Securities and Exchange Commission (SEC), one of the US market regulators, have time to tackle issues in the...

Primary markets : Discretion is the better part of bond issuance

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The US regulator has raised questions over bank control of new issuance automation – the question is whether banks behave with valour. A recent report...

SEC requests comment on evolution of buy-side internal crossing rules

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The US Securities and Exchange Commission’s Division of Investment Management Staff has published a statement to elicit feedback on ways to enhance its regulatory...

Tabb Group event: Concern regarding Reg ATS expansion

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On 9 March the Tabb Group’s ‘Fixed Income Trading and Best Execution Summit’ heard that the Securities and Exchange Commission (SEC) concept release around...

SEC approves primary market database for US credit

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Last week US market regulator the Securities and Exchange Commission (SEC) signed off the development of a single central source of new issue reference...

ICE Data fine is symptomatic of bond data challenge

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ICE Data Pricing & Reference Data (PRD) has been fined by US$8 million by US market regulator the Securities and Exchange Commission (SEC), for...

Editorial: Oversight of US bond markets is broken

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Oversight of the US bond markets is broken. The world’s sixth largest bank by assets, JP Morgan, was able to manipulate the US Treasury...

CFTC & SEC: JP Morgan manipulated Treasuries market during flash crash...

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US market regulators the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) have fined JP Morgan over US$920 million in penalties...

SEC report on algo trading highlights lack of joint oversight

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US markets regulator the Securities and Exchange Commission (SEC) has published a report to the US Congress on algorithmic trading in US debt and...

SEC creates unit to tackle emerging risks

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The Securities and Exchange Commission has created the Event and Emerging Risks Examination Team (EERT) in the Office of Compliance Inspections and Examinations (OCIE)....

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