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TRENDING TAGS
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- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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SEC's Bucket List of Rule Proposals for Remainder of 2016
September 27, 2016
Mary Jo White's SEC, along with TImothy Massad's CFTC, has an ambitious agenda for the remainder of 2016. The regulators are moving to enforce mandates from the 2010 Dodd-Frank Wall Street reform law, comply with international regulations and respond to technology changes as part of efforts to keep markets running smoothly and protect investors. Here's a sampling from the lineup:
- stress testing for asset managers.
- liquidity risk management, fund reporting, derivatives and transition planning.
- consolidated audit trail, a database tracking equity and options trades.
- capital requirements for swap dealers that are consistent with banking regulations.
- trader limits for futures, options and physical commodity swaps contracts.
- automated trading in commodities markets.
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April 16, 2019 -
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March 1, 2019