Securities and Exchange Commission (SEC)
Data Fee Complainants Buoyed by SEC Appointee
Recent appointments at the US Securities and Exchange Commission have led some firms to believe regulators and policymakers will finally start to address what they believe to be opaque pricing structures for market data at exchanges. Joanne Faulkner…
DTCC Proposes Measures to Further Reduce US Settlement Times
The two proposals could bring settlement down to a day-and-a-half from time of trade, but still need more feedback from the industry.
Law & Disorder: US Preps Defense Against Mifid II
As Mifid II's deadline approaches, US firms affected by the rules are still waiting for regulators to resolve crucial conflicts between European and American laws, and are likely to be making adjustments well after the deadline has passed, reports…
Top Stories of 2017: The Crypto Craze
The pick of Waters' coverage stretching from bitcoin becoming an asset class to exchanges launching futures.
Sifma Adds Voice to CAT Personal Information Row
Lobby group is looking at other types of data that it can suggest to the SEC for use in the CAT.
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House Prepares Bill Delaying CAT amid Ongoing Difficulties
Thesys, in a hearing at a Congressional committee, also said it has lined up over 20 candidates for a chief information security officer post.
CFTC Warns on Bitcoin Futures as Exchanges Ready Contracts
Market participants express concern over potential risks these contracts could pose to clearinghouses, as exchanges self-certify contracts for trading.
Waters Wavelength Podcast Episode 96: CAT Concerns & Big Tech Takes Aim at Asset Managers
Anthony and James look at developments pertaining to the Consolidated Audit Trail and wonder if big-tech companies could challenge traditional asset managers.
Industry Tight-Lipped on CAT Status as Deadline Hits
Participants refuse to say whether reporting will begin as scheduled after a last-ditch delay effort was rejected by the SEC.
House Approves Market Data Protection Act
Market Data Protection Act will increase security requirements for market data held by the SEC and FINRA, lawmakers say.
Chicago Catches Crypto Fever with Barrage of Bitcoin Developments
Digital commodities such as bitcoin have captured the imagination of exchange operators but regulators—and even some market participants—are hesitant.
Fixed-Income Tech, CAT Concerns & Waters November 2017 Features: A Week in Review
John recaps some of Sell-Side Technology's best stories of the week, including fixed-income technologies, uncertainty around the CAT, and Waters' November features.
The CAT Is Out of the Bag
The wide-ranging project will not be delayed, even if aspects of its data collection change.
Vendors Accused of Over-Promising on Liquidity Rule
Two buy-side risk officers believe that the SEC put too much faith in the vendor community when making its liquidity rules, specifically for fixed income.
Sibos 2017: Disrupting the Disruptors
The key themes from this year's industry mega-event.
Industry Adds Voice to Calls for CAT Delay
Confidence in the wide-ranging project has been dented by recent cybersecurity incidents.
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London Stock Exchange Releases Accelerator Tool for CAT
UnaVista builds tool to simulate requirements of US markets project.
AI-Spy: Machines Close in on Pricing Manipulators
Artificial intelligence is gaining traction among regulators, exchanges and financial firms sifting through massive amounts of data to spot potential pricing manipulation. Kirsten Hyde asks whether the industry is ready to go all in on AI.
Regulators 2.0: Embrace Tech or Be Overwhelmed by Data
To handle the massive increases in data volumes expected from Mifid II regulation and the US Consolidated Audit Trail, regulators are examining their own data governance and technology use, report Joanne Faulkner and Kirsten Hyde.
There Ain’t No Party Like a Bitcoin Party
Because the bitcoin party is definitely not going to stop and catch fire.
Demanding Regulators Drive Surveillance Tech Requirements
Increasingly advanced watchdogs have "upped the ante" for trading firms, compliance chiefs say.
House Lawmakers Pressure SEC to Postpone CAT
Congress has "serious concerns" about the SEC's ability to safeguard data, politicians say.
On the Fence About Fintech Regulations
Differing sides of the financial technology regulation debate each make sense, which is why choosing a side is difficult.
Personal Details Compromised in SEC Hack
US regulator discloses that social security numbers were compromised in Edgar cyber incident from 2016.