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29 July 2010

Let's All Go To The Lobby

Melanie Wold, Freelance

Wold details how according to a clause in the new financial reform law, the SEC is now allowed to do what no one else can: withhold information. rest of story...

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Regulatory Opinions & Analysis

Manana is here, as Spain steps up to the MiFID plate (TABB Group, Miranda Mizen) 0 Comments
Let's All Go To The Lobby (Freelance, Melanie Wold) 0 Comments
Financial Regulatory Reform is Just Beginning (Solace Systems, Larry Neumann) 0 Comments
SEF 101: Deconstructing the Swap Execution Facility (TABB Group, Kevin McPartland) 9 Comments
FinReg: The End of the Beginning (TABB Group, Kevin McPartland) 1 Comment
A Change is Gonna Come (Turquoise, Natan Tiefenbrun) 0 Comments
It's Only Business: McGraw-Hill, S&P and Financial Reform (University of Nebraska, Joseph Weber) 0 Comments
Hedge Fund Registration Back in Vogue (TABB Group, Matt Simon) 3 Comments
True Cost of Financial Advice: What Fiduciary Reform Means to Individual Investors (Wiser Wealth Management, Kyle Waller and Casey Smith) 8 Comments
SEC Chairman Schapiro Discusses U.S. Proxy System (SEC) 0 Comments
Larry Tabb on Circuit Breakers: "Yes, But Will They Work?" (TABB Group, Larry Tabb) 0 Comments
Further 'Trade At Rule' Musings (Turquoise, Natan Tiefenbrun) 2 Comments
Further to Dennis Dick’s “Recipe for a Toxic Market:” Harris Answers Hubert-Felix (BondMart Technologies, John Harris) 4 Comments
Recipe For a Toxic Market - Part II (Bright Trading, Dennis Dick) 1 Comment
Hot Topics: Institutional Equity Trading (TABB Group, Adam Sussman) 6 Comments
Regulatory Reform: What's Next for Securities Lending? (Quadriserv, Inc., Katharine Gill Law) 0 Comments
Mexico's Exchange Markets Gain in Proximity to U.S. (CC-Speed, Dan Watkins) 1 Comment
Wall Street: 1, Main Street: Nil (Freelance, Melanie Wold) 2 Comments
A Final Chance to Strip Down Regulatory Reform (Louisiana State University , Joseph R. Mason, Finance Professor and Wharton School Senior Fellow ) 3 Comments
New Circuit Breaker Rules Clearly Do Not Work (Tradebot Systems , Dave Cummings, Chairman ) 8 Comments
An Evolving Market: OTC Derivatives and the Changing Regulatory Environment (Omgeo LLC , John Burchenal, Managing Director ) 1 Comment
CFTC-SEC June 22 Panel on Cross-Asset Circuit Breakers (TABB Group, Adam Sussman) 0 Comments
Recipe For a Toxic Market - Part I (Bright Trading, Dennis Dick) 5 Comments
The Prime Broker, the Retail Aggregator and Mrs. Watanabe (TABB Group, William Rhode) 2 Comments
Financial Regulation Could Open New Cans of Worms (Freelance, Melanie Wold) 0 Comments

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SEF 101: Deconstructing the Swap Execution Facility

Kevin McPartland, TABB Group

McPartland examines all facets of the financial reform bill's SEF language that regulators now need to define in "excruciating detail." Continue

Regulatory News

Funding pressures start to ease for European banks (MarketWatch)
The Big Bank Stock Rally That Wasn't (theStreet.com)
Low Rates are Squeezing Bank Profits (BloombergBusinessweek)
Rule to Aid Bankrupt Commodities Brokers' Clients (WSJ)
Regulator says Basel capital rules still tight (Reuters)
Wells Fargo's Stumpf Sees New Costs for Customers (Bloomberg)
Goldman Already a Step Ahead of FinReg (Fox Business)
Whistleblowers could receive greater pay-offs under new financial rules (Bob's Guide)
Citigroup Pays $75 Million to Settle Subprime Claims (New York Times)
Course of Economy Hinges on Fight Over Stimulus (WSJ)
Citigroup to pay $75 million in SEC settlement (MarketWatch)
GOP blocks $30 bln small bank bill, seeking additions (MarketWatch)
EU watchdogs push for market transparency (FT)
SEC Says New Financial Regulation Law Exempts it From Public Disclosure (FOX Business News)
Two Goldman Lawsuits on Abacus Placed on Hold (Reuters)
CESR signals MiFID overhaul (Finextra)
Dodd, Frank Plan Congressional Hearings on Basel Bank-Capital Regulations (Bloomberg)
CESR calls for tighter broker crossing rules, mandated post-trade tape (The Trade News)
Congress Rethinks Its Ban on Internet Gambling (New York Times)
Prop Traders Being Reassigned In Wake Of Volcker Rule (Huffington Post)
Citigroup May Move Traders to Hedge Funds for Volcker Rule (Bloomberg)
Army of Ex-Regulators Get Set to Lobby on New Financial Rules (New York Times)
Feds demand diversity on Wall Street for women and minorities (Politico)
Basel rules must recognise performance of covered bonds (The Financial Times)
King cautious on hope of speedy recovery (The Financial Times)
4 Ways Wall Street Will Beat FinReg (TheStreet)
Bank M&A: Will FinReg Light a Fuse? (TheStreet)
S.E.C. Said to See New Limits on Its Disclosures (New York Times)
The first high-frequency trading fund for retail investors? (Christian Science Monitor)
Rolling Stone's Matt Taibbi on Goldman Sachs Settlement (The TakeAway)
Liquidity critical to OTC clearing, argue dealers (Risk.net)
Reform not a hit with institutional investors — survey (P&I Online)
August deadline for EC’s market abuse consultation (TheTRADEnews.com)
Politicians must learn that bigger regulation is not necessarily better regulation (Telegraph)
Ex-Regulators Get Set to Lobby on New Financial Rules (The New York Times)
Citigroup May Move Prop Traders to Hedge Funds for Volcker Rule (Bloomberg)
Feds demand diversity on Wall Street (Politico)
Liquidity critical to OTC clearing, argue dealers (Risk.net)
Banks Laud Basel Compromise on Capital Rules as Stocks Surge (Bloomberg)
SEC head warns against financial reform re-debate (Reuters)

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Regulatory Research & Whitepapers

SEC Proposal: Mutual Fund Distribution Fees; Confirmations (Securities and Exchange Commission)
Foley and Lardner Analysis: Implications of the Financial Reform Legislation for Derivatives Activities (Foley and Lardner )
Whitepaper: The Missoni Tapes: Navigating Post-MiFID Liquidity - What the Buy Side Really Thinks (Fidessa, Steve Grob)
Concept Release on the US Proxy System (Securities and Exchange Commission)
Whitepaper: AirPatrol: Wireless Devices on Trading Desks - Regulatory Compliance (AirPatrol Corporation, Bradley Rotter)
Re-open for Public Comment: Elimination of Flash Order Exception from Rule 602 of Regulation NMS (Securities and Exchange Commission)
MiFID II: What’s Up For Grabs? (Credit Suisse, Mark Buchanan)
OCC’s Quarterly Report on Bank Trading and Derivatives Activities First Quarter 2010 (OCC)
House and Senate Committee Bill: Financial Reform (Dodd-Frank Wall Street Reform Bill )
Public Report by the Division of Clearing and Intermediary Oversight on the Registration Program of the National Futures Association (CFTC)

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Events

FPL Latin America Electronic Trading Conference	Sao Paulo	09 Aug 2010	FIX Protocol	Add to Calendar
Next Generation Algorithmic Trading Strategies Summit	New York	25 - 27 Aug 2010	IQPC	Add to Calendar
Modelling and validating the Advanced Internal Ratings Based (AIRB) approach: NYC	New York	20 - 21 Sep 2010	Incisive Media	Add to Calendar
ETF & Index Investment Summit Asia 2010	Singapore	21 Sep 2010	http://www.wbresearch.com/etfs/home.aspx?mac=DL&cm_mmc=SGEXT-_-18891.001-_-DL-_-DL	Add to Calendar
STA’s 77th Annual Conference and Business Meeting	Washington, DC	22 - 25 Sep 2010	Security Traders Association	Add to Calendar
SunGard London City Day	London	23 Sep 2010	SunGard	Add to Calendar
Modelling and validating the Advanced Internal Ratings Based (AIRB) approach: London	London	23 - 24 Sep 2010	Incisive Media	Add to Calendar
5th Annual FIA and OIC New York Equity Options Conference	New York	04 - 05 Oct 2010	FIA/OIC	Add to Calendar
Trade Tech West	San Francisco	04 - 06 Oct 2010	www.TradeTechWest.com	Add to Calendar

More Submit Your Event

Press Releases

SEC Charges Citigroup and Two Executives for Misleading Investors About Exposure to Subprime Mortgage Assets	29 Jul 2010	SEC
CFTC Adopts Amendment Regarding the Operation of a Commodity Broker in Bankruptcy	29 Jul 2010	CFTC
Telx Doubles Capacity in Chicago Cermak Data Center	28 Jul 2010	Telx
SEC Chairman Schapiro Announces Open Process for Regulatory Reform Rulemaking	27 Jul 2010	SEC
SEC Publishes Public Request for Comment to Inform Study of Obligations of Broker-Dealers and Investment Advisers	27 Jul 2010	SEC
Quantifi Releases Version 9.4 to Address Market, Operational and Regulatory Changes	27 Jul 2010	Quantifi
Corporations Work Fast to Understand Scope and Impact of New Finance Reform Legislation in the United States	27 Jul 2010	Ketchum
CFTC Designates Green Exchange, LLC as a Contract Market	23 Jul 2010	CFTC
CFTC Begins Publishing New Large-Trader Report for Financial Futures Markets	22 Jul 2010	CFTC

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