European Commission grants equivalence to US equities clearing houses
The EU regulator has adopted an equivalence decision that determines US CCPs under the Securities and Exchange Commission regime as equivalent to EU rules.
Tag: Securities and Exchange Commission
US watchdog moves to overhaul governance of equity consolidated tape
Following intense debate among market participants on the extensive costs of market data, incumbent exchanges could soon have less power over the consolidated tape in the US.
Wall Street goes to war over market data and access
A roundtable hosted by the SEC with high-profile market participants highlighted just how divided Wall Street and regulated exchanges are on the issue of market data and access to exchanges, writes Hayley McDowell.
Controversial US derivatives rules resurface at the SEC
Derivatives rules first introduced in December 2015 have come up on the SEC’s spring 2018 regulatory agenda, with a recommendation the rules be revisited.
Morgan Stanley fined $3.6 million for misuse of client funds
Morgan Stanley’s wealth management business will pay $3.6 million after one of its advisors stole $7 million from client accounts.
Bitcoin ETFs stumble over SEC’s liquidity and valuation fears
SEC shuts down possibility of Bitcoin ETFs and asks firms to withdraw requests to launch products.
SEC appoints JP Morgan’s market structure head as trading director
Brett Redfearn has left JP Morgan to head up the trading and markets division at the Securities and Exchange Commission.
Ex-SEC accountant pleads guilty to trading fraud
David Humphrey fined following misrepresentation of personal derivatives trading activity.
Jay Clayton sworn in as chairman of SEC
Jay Clayton officially sworn in as the 32nd chairman of the SEC.
Morgan Stanley fined $8 million for ETF trading failures
The SEC found Morgan Stanley failed to inform investors of risks related to the trading of inverse ETFs.