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Stories of Interest
- SEC Adopts Statement and Interpretive Guidance on Public Company Cybersecurity Disclosures
- SEC Charges Former Bitcoin Exchange and Its Founder With Fraud
- JPMorgan Chase to Replace NYC Headquarters with 70-Story Skyscraper
- Citigroup Raises CEO Corbat's Pay 48% to $23Mn
- Should Congress Create a Crypto-Cop?
- JPMorgan Weighs Buying an Exchange-Traded Funds Firm
- Hey, Goldman Sachs: Wanna Buy BNY Mellon?
- SEC Order Rejecting Acquisition of Chicago Stock Exchange (CSX) by Chinese-Baesd Company
- Kyle Moffatt Named Chief Accountant in SEC CorpFinance
- SEC Suspends Trading in 3 Issuers Claiming Involvement in Cryptocurrency and Blockchain Technology
- Karen Garnett, Assoc. Director of SEC CorpFinance, to Leave After 23 Years of Service
- Louisiana Adviser Barred for Hiding Losses from Investors
- Connecticut HF Manager Illegally Diverted Investor Money - Now Owes Nearly $13Mn
- White House Cleaning House of Advisors Without Full Security Clearance
- Goldman Projects 30% Growth in Wealth Management Advisor Force
- Whistleblower Alleges Manipulation of CBOE Volatility Index
- FINRA Looking Into VIX (CBOE Volatility Index) Manipulation: WSJ
- Atlanta-Area Resident Charged with Misusing Investor Funds - SEC
- FINRA Announces 2018 West Region Networking Seminar
- Alberto Arevalo, Associate Director in Office of International Affairs, to Retire From SEC
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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