Tag: Securities and Exchange Commission (SEC)
Do regulators understand ‘best execution’ in corporate bond markets?
What is best execution in bond markets?
In fixed income a best execution process matches up trade metrics to the investment parameters.
“Trading is simply how...
ICE begins exchange offer for outstanding unregistered 3.625% senior notes
Intercontinental Exchange (ICE) has begun the exchange offer for its outstanding unregistered 3.625% senior notes, due in 2028. They will be exchanged with equivalent...
CFTC commissioner voices cost concerns around proposed technical data reporting standards
Along with a number of financial regulatory agencies, the Commodity Futures Trading Commission (CFTC) has approved a rule proposal to establish technical data reporting...
![“Fundamentally flawed […] inadequate”; SIFMA slams SEC’s best execution proposal](https://www.fi-desk.com/wp-content/uploads/2024/08/Craig-Lewis-e1723191687527-324x160.jpg "“Fundamentally flawed […] inadequate”; SIFMA slams SEC’s best execution proposal")
“Fundamentally flawed […] inadequate”; SIFMA slams SEC’s best execution proposal
In a recent post from the Securities Industry and Financial Markets Association (SIFMA), former chief economist and director of the Division of Economic and...
SEC proposes joint data standards
The US Securities and Exchange Commission (SEC) has proposed joint data standards that would establish technical standards for data submitted to certain financial regulatory...
Row erupts as CBOE seeks to define exchange boundaries
An application by multi-asset market operator, CBOE, to define what is considered a ‘facility’ of the exchange, has triggered a row. The firm sought...
SEC classifies HFT liquidity providers as “dealers”
US markets regulator, the Securities and Exchange Commission (SEC), has adopted two rules that require market participants who engage in certain dealer roles, in...
SEC signs off US Treasury clearing for cash and repo
The US Securities and Exchange Commission (SEC) has adopted a rule designed to reduce risk in the US Treasury market by ensuring that more...
SEC enacts security-based swap execution facilities registration rule
The US Securities and Exchange Commission (SEC) has created a regime for the registration and regulation of security-based swap execution facilities (SBSEFs).
The new regulatory...
Coding error triggers US$7 million fine for Citadel
The Securities and Exchange Commission has settled charges against broker-dealer Citadel Securities for violating a provision of Regulation SHO, the regulatory framework designed to...
