Regulatory Coverage

Securities and Exchange Commission - Holding Foreign Companies Accountable Act Disclosure

December 9th, 2021

Document No. 86 FR 70027 (https://www.govinfo.gov/content/pkg/FR-2021-12-09/pdf/2021-26528.pdf) 

Commodity Futures Trading Commission -  Real-Time Public Reporting Requirements 

November 25th, 2020

Document No. 17 CFR Part 43 (https://www.cftc.gov/sites/default/files/2020/11/2020-21568a.pdf) 

Commodity Futures Trading Commission - Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity

November 14th, 2019

Document No. 2019-226952020-0445 (https://www.fdic.gov/news/board/2019/2019-08-20-notice-dis-a-fr.pdf) 

Securities and Exchange Commission - FAST Act Modernization and Simplification of Regulation S-K

April 2nd, 2019

Document No. 3225-AM 00 (https://www.sec.gov/rules/final/2019/33-10618.pdf) 

Securities and Exchange Commission - Registration and Regulation of Security-Based Swap Information

May 18th, 2015

Document No. 3235-AK 80 (https://www.sec.gov/rules/proposed/2010/34-63346fr.pdf) 

Securities and Exchange Commission - Security-Based Swap Data Repository Registration, Duties, and Core Principles

May 18th, 2015

Document No. 3235-AK 79 (https://www.sec.gov/rules/final/2015/34-74246.pdf) 

Securities and Exchange Commission - Financial Industry Regulatory Authority Inc. Approval of Amendments to Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Asset-Backed Securities

February 24th, 2014

Document No. 34-71607 (https://www.sec.gov/rules/sro/finra/2014/34-71607.pdf) 

Securities and Exchange Commission - NYSE Arca Inc.; Order Granting Approval to Implement a One-Year Pilot Program for Issues of Certain Exchange-Traded Products listed on the Exchange

June 6th, 2013

Document No. 34-69706 (https://www.sec.gov/rules/sro/nasdaq/2013/34-69195.pdf)

Securities and Exchange Commission - The NASDAQ Stock Market LLC; Order Granting Approval to Establish the Market Quality Program

March 20th, 2013

Document No. 34-69195 (https://www.sec.gov/rules/sro/nasdaq/2013/34-69195.pdf) 

Commodity Futures Trading Commission - Real-Time Public Reporting of Swap Transaction Data

March 9th, 2012

Document No. 3038-AD08 (https://www.cftc.gov/LawRegulation/FederalRegister/FinalRules/2011-33173.html) 

Securities and Exchange Commission - Exemption for Certain Exchange Members

August 12th, 2022

Document No: 87 FR 49930 (https://www.govinfo.gov/content/pkg/FR-2022-08-12/pdf/2022-16711.pdf)

Securities and Exchange Commission - Reporting of Securities Loans

November 18th, 2021

Document No: 34-93613 (https://www.sec.gov/rules/proposed/2021/34-93613.pdf)

Securities and Exchange Commission - Amendments Regarding the Definition of “Exchange” and Alternative Trading Systems

September 30th 2021

Document No: 34- 94062 (https://www.sec.gov/rules/proposed/2022/34-94062.pdf)

Securities and Exchange Commission - To Establish a Corporate Bond New Issue Reference Data Service

January 25th, 2021

Document No: 86 FR 6922 (https://www.govinfo.gov/content/pkg/FR-2021-01-25/pdf/2021-01438.pdf)

Commodity Futures Trading Commission - Real-Time Public Reporting Requirements for Swap Transactions

April 17th, 2020

Document No: 2020-0445 (https://www.federalregister.gov/documents/2020/04/17/2020-04405/real-time-public-reporting-requirements)

Financial Industry Regulatory Authority - Proposed Pilot Program to Study Recommended Changes to Corporate Bond Block Trade Dissemination

April 12th, 2019

Regulatory Notice: 19-12 (https://www.sec.gov/spotlight/fixed-income-advisory-committee/finra-regulatory-notice-trace-19-12.pdf) 

Department of Treasury - Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds

September 17th, 2018

Document No: 1557-AE 27 (https://www.sec.gov/rules/proposed/2018/bhca-3.pdf) 

Securities and Exchange Commission - Registration and Regulation of Security-Based Swap Execution Facilities

February 28th, 2011

Document No: 3235-AK93 (https://www.sec.gov/rules/proposed/2011/34-63825fr.pdf) 

Securities and Exchange Commission - Registration and Regulation of Security-Based Swap Information

December 2nd, 2010

Document No: 3235-AK 80 (https://www.sec.gov/rules/proposed/2010/34-63346fr.pdf) 

Remarks by Securities and Exchange Commission Caroline A. Crenshaw

March 30th, 2023

https://www.sec.gov/news/speech/crenshaw-remarks-fixed-income-forum-spring-roundtable-033023

Remarks by Securities and Exchange Commission Chairman Gary Gensler 

May 6th, 2022

https://www.sec.gov/news/speech/gensler-acfmr-20220506

Remarks by Securities and Exchange Commission Chairman Gary Gensler 

April 26th, 2022

https://www.sec.gov/news/speech/gensler-names-bond-042622

Statement of Commodity Futures Trading Commission Chairman Heath P. Tarbert in Support of Revisions to the Volcker Rule

September 16th, 2019

https://www.cftc.gov/PressRoom/SpeechesTestimony/tarbertstatement091619 

Remarks by Securities and Exchange Commission Hester M. Pierce

November 28th, 2018

https://www.sec.gov/news/speech/speech-peirce-112818

Remarks by Commodity Futures Trading Commission Christopher Giancario

November 28th, 2017

https://www.cftc.gov/PressRoom/SpeechesTestimony/opagiancarlo-33 

Remarks by Board of Governors of the Federal Reserve Board System Vice-Chair Stanley Fischer, Is There a Liquidity Problem post-crisis

November 2016

https://www.federalreserve.gov/newsevents/speech/fischer20161115a.htm 

Congressional Testimony before U.S. Senate Committee on Banking, Housing, and Urban Affairs by Federal Reserve Board System Governor Jerome H. Powell, Trends in US Fixed Income Markets

April 14th, 2016

https://www.federalreserve.gov/newsevents/testimony/powell20160414.htm 

Remarks by Securities and Exchange Commission (SEC) Commissioner Elisse B. Walter

October 28th, 2010

http://www.sec.gov/news/speech/2010/spch102810ebw.htm 

Remarks by Securities and Exchange Commission (SEC) Commissioner Roel C. Campos

June 8th, 2006

http://www.sec.gov/news/speech/2006/spch060806rcc.htm 

Remarks by Securities and Exchange Commission (SEC) Commissioner Cunthia Glassman

May 19th, 2006

https://www.sec.gov/news/speech/2006/spch051906cag.htm 

Remarks by Securities and Exchange Commission (SEC) Commissioner Annette L. Nazareth

February 7th, 2006

http://www.sec.gov/news/speech/spch020706aln.htm 

Board of Governors of the Federal Reserve System, Financial Stability Report

May 2020

https://www.federalreserve.gov/publications/files/financial-stability-report-20200515.pdf?utm_source=newsletter&utm_medium=email&utm_campaign=newsletter_axiosmarkets&stream=business 

International Organization of Securities Commission (IOSCO) Report on Regulatory Reporting and Transparency in Secondary Corporate Bond Market

April 2018

Report to President Donald Trump by Treasury Secretary Mnuchin, A Financial System That Creates Economic Opportunity (Capital Markets Report)

October 2017

https://www.treasury.gov/press-center/press-releases/Documents/A-Financial-System-Capital-Markets-FINAL-FINAL.pdf

Report to the US Congress by the Securities and Exchange Commission, Access to Capital and Market Liquidity

August 2017

https://www.sec.gov/files/access-to-capital-and-market-liquidity-study-dera-2017.pdf 

Board of Governors of the Federal Reserve System, Monitory Policy Report

July 2017

International Organization of Securities Commissioners (IOSCO) Report on Liquidity in the Corporate Bond Market Under Stress Conditions

June 2010

https://www.iosco.org/library/pubdocs/pdf/IOSCOPD634.pdf 

Center for Economic Policy Research (CEPR) Report on European Corporate Bond Markets

May 2006

http://www.cepr.org/PRESS/TT_CorporateFULL.pdf 

Financial Services Authority Report on Trading Transparency in UK Secondary Bond Market

September 2005

https://www.treasurers.org/ACTmedia/dp05_05.pdf 

Securities and Exchange Commission's (SEC) Report on the Comparison of Order Executions Across Equity Market Structures

January 8th, 2001

http://www.sec.gov/pdf/ordrxmkt.pdf 

Economist: "Whiter than White: A New Formula for Bond-Market Transparency"

February 21st, 2006

Bloomberg News: "Bond Dealers Lost $1 Billion After Disclosing Prices"

September 22nd, 2006

Financial Times: "Sweet Clarity"

October 2nd, 2006

Bloomberg News: "Bond Dealers Lose $1 Millions Incomes on Transparency"

October 24th, 2006

Bloomberg News: "Regulators of Bonds Bows to Banks, Blocks Transparency"

November 20th, 2006

International Herald Tribune: "EU Bows to Pressure From Banks; Market Regulator Decides Against More Disclosure"

November 22nd, 2006

Wall Street Journal: "NASD Bond System Helps to Reduce Costs"

November 25th, 2006

Bloomberg News: "Levitt Says That Asset-Backed Bonds Needs More Disclosures"

November 5th, 2007

Asset Securitization Report: "Could TACE Bring ABS Pricing Into Focus?"

November 19th, 2007

Barrons: "Short These Stocks"

July 6th, 2009

Financial Times: "Meal Tickets For Commodity Trader Ends"

December 4th, 2012

Bloomberg: "How Can Buy-Side Institutions Measure Their Relative Trading Performance?"

April 9th, 2015

Bloomberg: "People Are Worried About Bond Market Liquidity (Matt Levine's Money Stuff)"

June 3rd, 2015

Bloomberg: "Liquidity, Bankruptcy,  and Paperwork (Matt Levine's Money Stuff)"

July 18th, 2017