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Investment Managers Eye SEC Rule Proposals – Warily

T+1 settlement and short sale reporting are among items with implications for the buy side. 
10.30.2023 By Markets Media

SEC Archives - Markets Media

Equities Trading Rule-Change Proposals: Implications for Data and Surveillance
Compliance in Focus

Equities Trading Rule-Change Proposals: Implications for Dat...

Ahead of finalized rules, broker-dealers can assess tech systems for configurability and flexibility. 

02.07.2023 By Markets Media ,
SEC Proposes to Improve Risk Management in U.S. Treasuries
From The Markets

SEC Proposes to Improve Risk Management in U.S. Treasuries

Proposed rule changes would update the membership standards required of covered clearing agencies.

09.15.2022
Statement of Commissioner Elad L. Roisman
From The Markets

Statement of Commissioner Elad L. Roisman

Acting SEC Chairman is resigning as of the end of January.

12.21.2021
Gensler Calls for Standardized Climate Risk Disclosure
From The Markets

Gensler Calls for Standardized Climate Risk Disclosure

SEC Chair says updates to public-company and fund disclosures could increase transparency in capital markets.

07.29.2021
New Trade Routing Data Is Just First Step 
Daily Email Feature

New Trade Routing Data Is Just First Step 

SEC Rule 606(b)(3) shows that transparency and collaboration can go a long way toward improving buy-side trade execution...

11.17.2020 By Shanny Basar , Senior Writer
Dmitry Bulkin Joins SEC as Policy Advisor
From The Markets

Dmitry Bulkin Joins SEC as Policy Advisor

Citigroup and Credit Suisse veteran brings deep experience in electronic trading and market structure.

06.24.2020
ASA Sues Over SEC Audit Trail Privacy
Latest News

ASA Sues Over SEC Audit Trail Privacy

Lawsuit alleges private user IDs should be replaced.

05.20.2020 By John D'Antona , Editor, Traders Magazine
S3’s Davies on SEC Rule 606 Delay
Latest News

S3's Davies on SEC Rule 606 Delay

Risks outweigh rewards in keeping previously established compliance dates.

03.31.2020 By John D'Antona , Editor, Traders Magazine
SEC Aids NYSE Electronic Auctions in Light of Floor Closure
From The Markets

SEC Aids NYSE Electronic Auctions in Light of Floor Closure

SEC makes statement on NYSE electronic trading session and electronic auctions set for Monday.

03.22.2020
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