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Broker-Dealers to Pay Over $1 1bn in Penalties

The firms did not maintain off-channel communications, in violation of the federal securities laws.

United statesSanjay wadhwaGurbirs grewalGary genslerKevin mcpartlandFenner smithMorgan stanley smith barneyGary gensler kevin mcpartlandMerrill lynchCantor fitzgerald coBarclays capitalFinancial servicesDivision of enforcementDeutsche bank securitiestogetherNomura securities internationalExchange commission

Analysis-U S SEC Draft Rules Could Boost Resilience Of $24 Trillion Treasury Market

Proposed rules by the U.S. Securities and Exchange Commission (SEC) to boost central clearing in Treasuries could help to shore up resiliency in the $24 trillion market and may pave the way for more trading that bypasses the large banks that have traditionally dominated the market.

Darrell duffieGraham harperStephen bergerKevin mcpartlandCoalition greenwichFederal reserveTreasury departmentExchange commissionIncome clearing corpCongressional budget officePacific investment management company pimcoStanford universityCongressional budgetCitadel securitiesInvestment management companyFixed income clearing corp

Analysis-U S SEC draft rules could boost resilience of $24 trillion Treasury market

Proposed rules by the U.S. Securities and Exchange Commission to boost central clearing in Treasuries could help to shore up resiliency in the $24 trillion market and may pave the way for more.

Darrell duffieKaren brettellPete schroederGraham harperStephen bergerKevin mcpartlandAlden bentleyTreasury departmentIncome clearing corpPacific investment management company pimcoCongressional budget officeStanford universityCoalition greenwichFederal reserveCongressional budgetCitadel securities

U S regulators move on plan to cut bond reporting to 1 minute

Regulators are moving ahead with a plan that could slash the amount of time that traders have to report many bond transactions to just one minute.

John bagleyGary genslerKevin mcpartlandExchange commissionFinancial industry regulatory authorityOffice mark kimCoalition greenwichMunicipal securities rulemaking boardWall streetExecutive office mark kimMarket structure officer john bagley

ETF Takeover Deepens as Debt Funds Are OK d as Collateral

"Overall, it’s another use case for ETFs, besides long-term investing, tactical directional bets, and hedging."

Dave nadigTodd sohnAlexandra harrisKevin mcpartlandYork department of financial servicesBlackrock incCoalition greenwichFederal reserveGroup incWall streetNew york departmentFinancial services

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