Securities and Exchange Commission (SEC)
Two More Quit in SEC Exodus
The US Securities and Exchange Commission announced last night that two more senior officials would be leaving the regulator.
SEC's Lewis: Regulator Rapidly Catching Up With Analytics
The US Securities and Exchange Commission (SEC) is becoming more technology-aware, according to Craig Lewis, director and chief economist for the SEC’s risk, strategy, and financial innovation division.
Direct Edge Adds Pre-Trade Risk Controls
Direct Edge has added EdgeRisk Controls, a pre-trade risk tool for its EDGA and EDGX Exchanges, which facilitates compliance with the US Securities and Exchange (SEC) Market Access Rule 15(c)3-5 for broker-dealers and their clients.
SEC Appoints IT Division CIO
The US Securities and Exchange Commission (SEC) has announced that Todd Scharf will take on the role of CIO in its Office of Information Technology.
Schapiro Announces SEC Depature
Mary Schapiro, the chair of the US Securities and Exchange Commission (SEC) has announced that she will leave her role at the head of the US regulator on December 14.
SEC Promotes Dyson to Deputy CIO
Pamela Dyson has been with the agency since late 2010.
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
