The Securities and Exchange Commission (SEC) proposes to amend Regulation Systems Compliance and Integrity (Reg SCI) to update and expand the regulatory oversight of the core technology of the U.S. securities markets.1 The...more
5/9/2023
/ Alternative Trading System (ATS) ,
Broker-Dealer ,
Clearing Agencies ,
Comment Period ,
Cryptoassets ,
Cybersecurity ,
Data Repositories ,
Proposed Amendments ,
Regulation SCI ,
Securities ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
Swap Data Repositories ,
Third-Party Service Provider ,
Vendors
The Securities and Exchange Commission (SEC) proposed significant changes to the regulation of securities trading systems that use non-firm trading interest and alternative trading systems (ATSs) that trade government...more
The Securities and Exchange Commission (SEC) proposed to amend Regulation ATS under the Securities Exchange Act of 1934 (Exchange Act) for alternative trading systems (ATSs) that trade government securities or repurchase and...more
On October 7, 2020, the Securities and Exchange Commission (SEC) proposed to address long-standing questions regarding the applicability of the broker registration requirements to finders for small and emerging businesses....more
The Securities and Exchange Commission’s (SEC) Fixed Income Market Structure Advisory Committee (FIMSAC) held its latest meeting on February 10, 2020. The SEC formed FIMSAC to provide advice to the SEC on the efficiency and...more
The Financial Industry Regulatory Authority, Inc. (FINRA) introduced two new initiatives related to the fixed income markets. FINRA proposed to establish a central depository for the public dissemination of new issue...more
On July 18, 2018, the Securities and Exchange Commission (SEC or Commission) voted unanimously to adopt significant amendments to Regulation ATS (Reg ATS). The amendments, which impose heightened public disclosure...more
On March 14, 2018, the Securities and Exchange Commission (SEC) proposed Rule 610T of Regulation NMS under the Securities Exchange Act of 1934 to conduct a pilot program (Pilot) to study the effect of equity exchange...more
On January 11, 2018, the Securities and Exchange Commission's (SEC) Fixed Income Market Structure Advisory Committee (FIMSAC) held its inaugural meeting. The SEC formed the FIMSAC to provide advice to the SEC on the...more
The election of Donald Trump as the next President and the continued Republican control of Congress raise questions as to what changes may be expected at the Securities and Exchange Commission (SEC or Commission) and what may...more
On April 26, 2016, the Equity Market Structure Advisory Committee (EMSAC or Committee) held its fourth meeting at the Securities and Exchange Commission (Commission or SEC) in Washington DC. The Committee is considering...more
On April 7, 2016, the Securities and Exchange Commission (“SEC”) approved the Financial Industry Regulatory Authority's (“FINRA”) proposal to amend NASD Rule 1032 (Categories of Representative Registration) to require...more
The Equity Market Structure Advisory Committee (EMSAC or Committee) held its third meeting at the Securities and Exchange Commission (Commission or SEC) in Washington DC on February 2, 2016. The Committee is considering...more
The dramatically changing market for US Treasury securities raises questions and concerns for the public and regulators alike. For example, as with the equities markets, high-frequency trading has entered the US Treasury...more
On November 18, 2015, the Securities and Exchange Commission (“SEC” or “Commission”) proposed significant changes to the regulatory requirements applicable to dark pools and other alternative trading systems (“ATSs”) that...more
On October 27, 2015, the Equity Market Structure Advisory Committee (EMSAC or Committee) held its second meeting at the Securities and Exchange Commission (Commission or SEC) in Washington DC. The Committee is considering...more
11/6/2015
/ Alternative Trading System (ATS) ,
Broker-Dealer ,
Equity Markets ,
Exchange-Traded Products ,
Market Participants ,
Mary Jo White ,
Professional Conferences ,
Publicly-Traded Companies ,
Regulatory Standards ,
SEC Advisory Committee ,
Securities and Exchange Commission (SEC)
In June 2014, the Securities and Exchange Commission (“SEC” or “Commission”) issued an order directing the national securities exchanges and the Financial Industry Regulatory Authority (collectively, the “Participants”) to...more
Overview -
On March 25, 2015, the Securities and Exchange Commission ("SEC" or "Commission") proposed an amendment to Rule 15b9-1 (the “Proposal”) under the Securities Exchange Act of 1934 ("Exchange Act") that, if...more