Tag: Securities and Exchange Commission (SEC)

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...

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

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...

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...

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

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

The Securities and Exchange Commission (SEC) sub-committee the Fixed Income Market Structure Advisory Committee (FIMSAC), has unanimously passed a proposal to support internal crossing...

The UK’s Financial Conduct Authority (FCA) has issued a call for input (CFI) to better understand how data and advanced analytics are being accessed...

A proposed pilot project for raising the size at which US bond trades must be reported, and delaying reporting for even larger trades, could...