The latest complication is in the multi-trillion-dollar futures and derivatives markets; may force brokers who facilitate futures transactions to register as commodity trading advisers - a label that brings unwanted regulatory burdens (Nov 17)
We have not seen a "leadership reversal", a "Hindenburg Omen" and a "Titanic Syndrome signal" all appear simultaneously since just before the last financial crisis (Nov 14)
Jay Clayton, Securities and Exchange Commission chair, is working to streamline the agency's ad hoc approach to approving new exchange-traded funds, putting a spotlight on an issue that has vexed the regulator for a decade (Nov 10)
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SEC says companies can expect new guidelines on reporting cybersecurity breaches
Agency will probably update directions that it gave to companies more than six years ago.
(Nov 13) -- The Commodity Futures Trading Commission is considering revising the rules that govern swap trading platforms in order to make them more principles-based and less "prescriptive and inflexible," CFTC chair J. Christopher Giancarlo said at an industry gathering in Singapore. The CFTC should have followed the clear intent of the Dodd-Frank Act, allowing so-called swap execution facilities to decide their own business models, and enhancing professionalism through licensing, testing, and industry codes of conduct, Giancarlo said.
(Nov 13) -- Financial Industry Regulatory Authority , the brokerage industry's self-regulatory organization, will review order-routing inducements to see how they might affect how and where a broker-dealer firm transmits securities orders for execution. In a Targeted Examination Letter, FINRA asked member firms a number of questions, including how they "quantify the benefits, if any" from the receipt of payments for order flow, maker-taker rebates, and other inducements. Results of the inquiry will help FINRA decide whether additional steps are required.
Ultimately, the rationale for practicing some risk-management analysis is bound up with the empirical fact that market history repeats, albeit without a pre-determined time table.
