Tag: Securities and Exchange Commission

The past week saw appointments from HKEX, Citi and the SEC.

Gensler spoke on the importance of reforming fixed income markets, while providing recommendations to increase transparency, modernise platforms and enhance financial resilience.

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.

Proposed rules will require certain institutional investors to report short sale information to the SEC on a monthly basis.

New securities exchange will provide benefits including shorter on exchange settlements and proprietary blockchain data feeds.

Professor of finance at MIT has been appointed director, while the SEC’s acting director has been promoted to deputy director.

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.

New chief legal officer at Broadridge will replace Adam Amsterdam who is retiring after serving in the role for almost 30 years.

New regulatory appointment will replace Christian Sabella, who served at the agency for the past 10 years.

The EU regulator has adopted an equivalence decision that determines US CCPs under the Securities and Exchange Commission regime as equivalent to EU rules.