Courts deny Nasdaq’s attempts to halt market data rule changes
US markets watchdog has thrown out claims from the exchange that its proposed new rules around market data put incumbent venues at a disadvantage and harm the markets.
Tag: SEC
People Moves Monday: Trading places
The past week saw appointments from HKEX, Citi and the SEC.
SEC launches new cyber unit as it doubles down on crypto crime
US regulator has significantly increased the size of its cyber workforce, driving forward chairman Gary Gensler’s crusade to regulate trading in digital assets.
Gary Gensler sets his sights on fixed income reform
Gensler spoke on the importance of reforming fixed income markets, while providing recommendations to increase transparency, modernise platforms and enhance financial resilience.
Regulation
Archegos founder arrested for ‘massive market manipulation’
Bill Hwang and other executives have been arrested and charged by federal officers for their roles in a “fraudulent scheme” that created a “$36 billion house of cards”.
Market players push back on SEC proposals
New regulatory proposals (including the trade reporting regime, Exchange Act Rule 10c-1, the proposal for Form SR and the private fund advisors rule) are causing friction between industry players and the SEC.
SEC chair calls for collaboration between US regulators on oversight of crypto trading
US regulators are exploring how they can share responsibility for crypto oversight in light of considerable overlap on some crypto trading platforms.
SEC proposes changes to short sale disclosure rule
Proposed rules will require certain institutional investors to report short sale information to the SEC on a monthly basis.
A year since Biden’s inauguration: Has SEC enforcement increased post-Trump?
Brian Lynch, President of SteelEye US, talks to The TRADE about the changing landscape for financial regulation in the US: with a rundown of the latest changes and a look at what might yet be to come.
US regulator favours tougher disclosure requirements for hedge funds in the wake of Archegos
Watchdog has backed new disclosure rules that require hedge funds to more quickly report significant losses that could harm investors or the broader financial markets.