TBMA: Mandatory Settlement Cycles Are Unnecessary
- SEC's Access Rule Could Split High Frequency Market. Hintze, John // Securities Industry News;1/25/2010, Vol. 22 Issue 2, p5
The article discusses skepticism on the U.S. Securities and Exchange Commission's (SEC) Rule 15d3-5, requiring pre-trade checks but giving broker-dealers flexibility to adjust market-access proposal.
- Citi, Freddie May Join 'Subpenny' Test. // American Banker;5/4/2010, Vol. 175 Issue 68, p16
The article discusses a request by financial firms including Citigroup Inc. and Freddie Mac that the U.S. Securities and Exchange Commission (SEC) allow them to join a pilot test which would enable them to trade select securities in increments of less than one cent.
- SEC Analysis Methodology and Categories. // Public Accounting Report;3/15/2010, Vol. 34 Issue 5, p2
The article reports on the analysis made by the U.S. Securities and Exchange Commission (SEC) for the registrants who terminated or violated the securities registration or not filed their documents since March 1, 2009.
- ADS Media Group, Inc., American Enterprise Development Corp., and Arcland Energy Corp.; Order of Suspension of Trading. Peterson, Jill M. // Federal Register (National Archives & Records Service, Office of;10/24/2011, Vol. 76 Issue 205, p65768
The article presents a notice from the U.S. Securities and Exchange Commission (SEC) about the suspension of trading involving ADS Media Group Inc., American Enterprise Development Corp. and Arcland Energy Corp.
- Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants. Murphy, Elizabeth M. // Federal Register (National Archives & Records Service, Office of;10/24/2011, Vol. 76 Issue 205, p65784
The article focuses on the proposed rules of the U.S. Securities and Exchange Commission (SEC) about the registration of security-based swap dealers.
- SEC Extends Rules on Discipline, Fair Dealing to Mimi Advisers. ACKERMAN, ANDREW // Bond Buyer;12/27/2010, Vol. 374 Issue 33439, p7
The article reports on the approval made by the Securities and Exchange Commission (SEC) concerning the Municipal Securities Rulemaking Board proposal which is to extend its Rules G-17 on fair dealing and G-5 on disciplinary actions to municipal advisers in the U.S.
- SEC's Hawke Says Agency is Preparing More Trade-Routing Cases. Farrell, Greg // Tradersmagazine.com;10/15/2014, p4
The article reports that the U.S. Securities and Exchange Commission (SEC) is preparing for more alternative-trade systems route cases.
- SEC proposes large trader reporting. Collins, Daniel P. // Futures: News, Analysis & Strategies for Futures, Options & Deri;May2010, Vol. 39 Issue 5, p16
The article reports on a proposal by the U.S. Securities and Exchange Commission (SEC) to create a large trader reporting system for improving the collection and analysis of trading activity.
- Summer Reading. Scotti, Michael // Traders Magazine;Aug2011, Vol. 24 Issue 326, p6
An introduction is presented in which the editor discusses various reports within the issue on topics including the move of Wall Street to computer trading, the ban of the Securities and Exchange Commission (SEC) on the so-called "naked access," and the issues faced by the security trading industry.