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- New Law Bans Kaspersky Software from Use in U.S. Government
- I Owned Bitcoin For a Weekend and Here's What I Learned
- SEC Appoints New Chair and Board Members to PCAOB
- FINRA, Georgetown Team Up to Deliver 'Certified Regulatory and Compliance Professional' Program
- FINRA Board Meeting - This Week's Agenda
- Statement on Cryptocurrencies and Initial Coin Offerings - SEC Chair Clayton
- Company Halts Initial Coin Offering Over SEC Registration Concerns
- Kevin O'Leary Explains One Big Thing People Don't Understand About Bitcoin (But Need To)
- CME Bitcoin Futures: A Better Way to Buy (or Short) Bitcoin?
- Address at ICI's 2017 Securities Law Developments Conference - SEC Commissioner Stein
- New York Pension Fund Seeks More Pay Disclosure from Wells Fargo
- Wells Fargo Sanctions Are on Ice Under Trump Official
- Josh Brown: Here's How to Buy Bitcoin, But Realize It Could Be One Giant Bubble
- Trump's New Tax Plan Could Cost Citigroup $20 Billion
- Morgan Stanley Fires Former Congressman Harold Ford Jr.
- Al Franken Will Resign Over Sexual Misconduct Allegations - His Full Resignation Speech
- Ex-NFL Player Gets 40 Years for Running $10Mn Fraud
- Bitcoin Blows Past $15K, Adding $2K in Under 12 Hours
- Financial Adviser Settles Charges for Defrauding Private Equity Fund Investors
- New Cross Market Equity Supervision Report Cards - FINRA Phone-In Workshop, WebEx Presentation
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NEWSLETTERS & ALERTS
SEC Unveils New Fixed Income Market Structure Advisory Committee
The SEC announced earlier this month the formation and first members of its Fixed Income Market Structure Advisory Committee. The committee will initially focus on the corporate bond and municipal securities markets – providing advice to the Commission on the efficiency and resiliency of these markets, and identifying opportunities for regulatory improvements.
“Individual investors are highly active in fixed income markets, both directly as retail investors and indirectly through various types of funds.”
“This committee will help the Commission ensure that our regulatory approach to these markets meets the needs of retail investors, as well as companies and state and local governments. I appreciate the committee members’ willingness to participate, and I would like to thank Commissioners Stein and Piwowar for their highly collaborative efforts in establishing the committee.” - - SEC Chair Jay Clayton
The ‘FIMSA’ committee is comprised of a diverse group of outside experts, including individuals representing the views of retail and institutional investors, small and large issuers, trading venues, dealers, and SROs, among others. Committee members will serve renewable 2-year terms.
- Michael Heaney, Non-Executive Director for Legal and General Investment Management Americas, will chair the Committee.
Other committee members include (SEC, FINRA, MSRB regulators are highlighted):
- Carole Brown, CFO, City of Chicago
- Amy McGarrity, CIO, Colorado Public Employees’ Retirement Association
- Rachel Wilson, SVP, Finance, Iron Mountain
- Scott Krohn, SVP and Treasurer, Verizon
- Elisse Walter, Former Chair of the SEC
- Mihir Worah, Managing Director and CIO Asset Allocation and Real Return, PIMCO
- Dan Allen, President, Anchorage Capital Group
- Matthew Andresen, Co-CEO, Headlands Technologies
- Brian Archer, Head, Global Credit Trading, Citigroup
- Horace Carter, Managing Director and Head of Trading, Fixed Income Capital Markets, Raymond James
- Gilbert Garcia, Managing Partner, Garcia Hamilton & Associates
- Amar Kuchinad, Chief Strategy Officer, Trumid Financial
- Ananth Madhavan, Managing Director, Global Head of Research for ETFs and Index Investing, BlackRock
- Lynn Martin, President and COO, ICE Data Services
- Richard McVey, CEO, MarketAxess
- Suzanne Shank, Chair and CEO, Siebert Cisneros Shank
- Larry Tabb, Founder and Research Chairman, TABB Group
- Tom Thees, Head of Fixed Income, Head of DirectPool, CastleOak Securities
- Kumar Venkataraman, James Collins Chair in Finance, SMU
- Larry Harris, Fred V. Keenan Chair in Finance, Professor of Finance and Business Economics, USC School of Business
- Tom Gira, EVP of Market Regulation and Transparency Services, FINRA
- John Bagley, Chief Market Structure Officer, MSRB