Tag: Securities and Exchange Commission (SEC)
Bond-trading broker-dealer charged for allegedly bankrupting firm
The Securities and Exchange Commission (SEC) has charged Keith Wakefield, a former managing director and head of fixed income trading at IFS Securities, an...
Clearstream consortium seeks to resolve historic Reg S and Rule 144A...
In October, the international central securities depositary (ICSD), Clearstream, has its seventh meeting of its business consortium to reduce operational risks and time delays...
The Gensler Agenda
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
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
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
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
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
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
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...
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...
