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.
Tag: SEC
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.
ICE launches broker-dealer quotation transparency service for fixed income
The new service is aimed at helping participants meet new requirements resulting from recent amendments to the Securities and Exchange Commission (SEC) rules.
The SEC’s Division of Trading and Markets appoints new directors
Professor of finance at MIT has been appointed director, while the SEC’s acting director has been promoted to deputy director.
Data
MEMX asks SEC to reject ‘deeply flawed’ proposed changes to US equities data fees
According to the members exchange, the proposed changes to fees are subject to a conflict of interest and would further cement incumbent venues monopoly over market data.
Trading in meme stocks tested the resiliency and capacity of markets, SEC report concludes
The SEC's investigation into the market volatility caused by trading in GameStop stock back in January, raises questions about the market efficiency of short selling and the possible effects of acute margin calls on thinly-capitalized broker-dealers.
FICC to pay $8 million for inadequate risk management policies
Securities and Exchange Commission found that FICC’s risk failings could’ve resulted in significant costs for participants and the wider US financial system.
RBC to pay $800,000 for municipal bond unfair dealing ‘flipper’ charges
The Securities and Exchanges Commission (SEC) found that RBC allocated bonds intended for institutional investors to parties who then resold them to broker-dealers at a profit.
Former SEC chairman Clayton joins crypto platform Fireblocks as advisor
Jay Clayton joins Fireblocks, which allows institutional investors to transfer and issue digital assets across jurisdictions, an advisory board member.