Regulation Archive

While the gold, oil, grain and other commodity markets try to recover from the beatings experienced over recent days, the US Securities and Exchange Commission is turning its attention towards the health and transparency of the corporate bond market with an all-day roundtable addressing the market's transparency and market structure today. read more>

US stock exchanges and market participants will recommend a new tick size regime for less-liquid stocks at a roundtable hosted by the Securities and Exchange Commission today. read more>

Washington won’t now witness the wholesale transformation a Mitt Romney Republican administration would have triggered. So by winning a second term, how much change will a second Barack Obama Democratic administration bring to the Beltway machines of financial regulation? read more>

New rules on US swaps trading definitions pose potential conflicts between regulatory bodies, but the buy-side must instead focus on solidifying agreements with clearers and monitoring impending execution rules. read more>

If the US Commodity Futures Trading Commission does little to change its proposed rules for margin requirements on uncleared swaps trades, investors should brace themselves for increased collateral costs, according to industry observers. read more>

The appearance of Paul Ryan as vice presidential candidate on this year’s Republican ticket has been lauded as a potential source of depth for Mitt Romney’s policy offerings but what exactly does the fiscal conservative bring to the table? read more>

America’s commodity futures markets and the national regulator are taking measures to make it harder for unprincipled participants to use customer funds for their own prop trading. But can anything actually stop an unscrupulous broker from marauding your money if he wants to? read more>

More clarity has been provided on when US market participants should expect to onboard various OTC derivatives to newly-created swap execution facilities and meet central clearing requirements. read more>

Last Friday’s endorsement of new circuit breaker mechanisms by the Securities and Exchange Commission – more than two years after the flash crash that prompted a wholesale review of US equity market structure – promises greater safety for investors but some risks remain. read more>

Market participants have expressed support for a petition being gathered by Intercontinental Exchange CEO Peter Barsoom, which demands that US regulator the Securities and Exchange Commission should allow buy-side firms to use a single account to cross-margin between single name and index derivatives. read more>