Securities and Exchange Commission (SEC)
SEC Bumps Tech Roundtable Date
The Securities and Exchange Commission (SEC) has amended the date of its upcoming technology roundtable, initially scheduled for 14 September 2012.
SEC Modifies 'Flash Crash' Circuit Breaker Rules
Revisions to limit-up–limit-down and circuit breaker parameters will simplify but intensify requirements for exchanges and other trading venues.
Miami International Securities Exchange Files with the SEC
Barring a setback, MIAX expects to have its application for options trading approved by Q3.
SEFs Through the Looking Glass
While the rules trickle in for swap execution facilities, firms are investing in connectivity and platform design in anticipation of a deeper, more liquid market. As Tim Bourgaize Murray discovers, when it comes to the nascent SEF ecosystem, the future…
Form PF Shines Light on Golden Copies and Mapping Requirements
While the SEC says that it will only take about 53 man hours to complete a Form PF filing, a new whitepaper by Eze Castle Software estimates that number to be on the low end of the spectrum.
Fidelity ActionsXchange Adds Material Events
Strapline: Corporate Actions
HFT Is the SEC's Fault, Says a Former Exchange Operator
Steve Wunsch has long been a critic of the SEC. Now he's blaming them for the problems caused by high-frequency trading, and for the reactions, like a financial transaction tax, that may follow.
HFT Is the SEC's Fault, Says a Former Exchange Operator
Steve Wunsch has long been a critic of the SEC. Now he's blaming them for the problems caused by high-frequency trading, and for the reactions, like a financial transaction tax, that may follow.
CFTC Appoints a Whistleblower Chief
Following the creation of a whistleblower office pursuant to a provision in the Dodd-Frank Act, the US Commodity Futures Trading Commission (CFTC) has named former US Securities and Exchange Commission (SEC) assistant director Vincente Martinez as its…
Large Trade Reporting Rules Promote Centralized Data Models
US securities regulators issued new rules July 26 that are expected to create more transparency in the markets but will generate more data management needs
