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The SECs Fixed Income Market Structure Advisory Committee Approves Two New Recommendations

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

3/17/2020 / Advisory Committee , Corporate Bonds , Financial Industry Regulatory Authority (FINRA) , Fixed Income Investments , MSRB , Municipal Securities Market , Regulatory Agenda , Securities and Exchange Commission (SEC) , TRACE

FINRA Introduces Two Fixed Income Initiatives

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

2/21/2020 / Corporate Bonds , Data Collection , Financial Industry Regulatory Authority (FINRA) , Fixed Income Investments , Petition for Review , Popular , Portal , Securities and Exchange Commission (SEC) , Subscribers , U.S. Treasury

Registration of Associated Persons with Algorithmic Trading Responsibilities

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

4/15/2016 / Algorithmic Trading , Associated Persons , Financial Industry Regulatory Authority (FINRA) , NASD , Registration Requirement , Securities and Exchange Commission (SEC) , Software Developers

A Bold New Regulatory Landscape for Research: SEC Approves FINRA Rules Addressing Conflicts of Interest for Equity and Debt...

More than ten years after the Global Research Settlement and the adoption of NASD Rule 2711, the Securities and Exchange Commission (SEC or Commission) has approve new FINRA rules addressing conflicts of interest for both...more

7/28/2015 / Conflicts of Interest , Debt Securities , Equity Securities , Financial Analysts , Financial Industry Regulatory Authority (FINRA) , Investment Banks , NASD , Proposed Regulation , Securities and Exchange Commission (SEC)

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