Regulatory Coverage
Final Rules by Regulators
Securities and Exchange Commission - Holding Foreign Companies Accountable Act Disclosure
December 9th, 2021
Document No. 86 FR 70027 (https://www.govinfo.gov/content/pkg/FR-2021-12-09/pdf/2021-26528.pdf)
Commodity Futures Trading Commission - Real-Time Public Reporting Requirements
November 25th, 2020
Document No. 17 CFR Part 43 (https://www.cftc.gov/sites/default/files/2020/11/2020-21568a.pdf)
Commodity Futures Trading Commission - Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity
November 14th, 2019
Document No. 2019-226952020-0445 (https://www.fdic.gov/news/board/2019/2019-08-20-notice-dis-a-fr.pdf)
Securities and Exchange Commission - FAST Act Modernization and Simplification of Regulation S-K
April 2nd, 2019
Document No. 3225-AM 00 (https://www.sec.gov/rules/final/2019/33-10618.pdf)
Securities and Exchange Commission - Registration and Regulation of Security-Based Swap Information
May 18th, 2015
Document No. 3235-AK 80 (https://www.sec.gov/rules/proposed/2010/34-63346fr.pdf)
Securities and Exchange Commission - Security-Based Swap Data Repository Registration, Duties, and Core Principles
May 18th, 2015
Document No. 3235-AK 79 (https://www.sec.gov/rules/final/2015/34-74246.pdf)
Securities and Exchange Commission - Financial Industry Regulatory Authority Inc. Approval of Amendments to Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Asset-Backed Securities
February 24th, 2014
Document No. 34-71607 (https://www.sec.gov/rules/sro/finra/2014/34-71607.pdf)
Securities and Exchange Commission - NYSE Arca Inc.; Order Granting Approval to Implement a One-Year Pilot Program for Issues of Certain Exchange-Traded Products listed on the Exchange
June 6th, 2013
Document No. 34-69706 (https://www.sec.gov/rules/sro/nasdaq/2013/34-69195.pdf)
Securities and Exchange Commission - The NASDAQ Stock Market LLC; Order Granting Approval to Establish the Market Quality Program
March 20th, 2013
Document No. 34-69195 (https://www.sec.gov/rules/sro/nasdaq/2013/34-69195.pdf)
Commodity Futures Trading Commission - Real-Time Public Reporting of Swap Transaction Data
March 9th, 2012
Document No. 3038-AD08 (https://www.cftc.gov/LawRegulation/FederalRegister/FinalRules/2011-33173.html)
Proposed Rules by Regulators
Securities and Exchange Commission - Exemption for Certain Exchange Members
August 12th, 2022
Document No: 87 FR 49930 (https://www.govinfo.gov/content/pkg/FR-2022-08-12/pdf/2022-16711.pdf)
Securities and Exchange Commission - Reporting of Securities Loans
November 18th, 2021
Document No: 34-93613 (https://www.sec.gov/rules/proposed/2021/34-93613.pdf)
Securities and Exchange Commission - Amendments Regarding the Definition of “Exchange” and Alternative Trading Systems
September 30th 2021
Document No: 34- 94062 (https://www.sec.gov/rules/proposed/2022/34-94062.pdf)
Securities and Exchange Commission - To Establish a Corporate Bond New Issue Reference Data Service
January 25th, 2021
Document No: 86 FR 6922 (https://www.govinfo.gov/content/pkg/FR-2021-01-25/pdf/2021-01438.pdf)
Commodity Futures Trading Commission - Real-Time Public Reporting Requirements for Swap Transactions
April 17th, 2020
Document No: 2020-0445 (https://www.federalregister.gov/documents/2020/04/17/2020-04405/real-time-public-reporting-requirements)
Financial Industry Regulatory Authority - Proposed Pilot Program to Study Recommended Changes to Corporate Bond Block Trade Dissemination
April 12th, 2019
Regulatory Notice: 19-12 (https://www.sec.gov/spotlight/fixed-income-advisory-committee/finra-regulatory-notice-trace-19-12.pdf)
Department of Treasury - Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds
September 17th, 2018
Document No: 1557-AE 27 (https://www.sec.gov/rules/proposed/2018/bhca-3.pdf)
Securities and Exchange Commission - Registration and Regulation of Security-Based Swap Execution Facilities
February 28th, 2011
Document No: 3235-AK93 (https://www.sec.gov/rules/proposed/2011/34-63825fr.pdf)
Securities and Exchange Commission - Registration and Regulation of Security-Based Swap Information
December 2nd, 2010
Document No: 3235-AK 80 (https://www.sec.gov/rules/proposed/2010/34-63346fr.pdf)
Speeches by Regulators
Remarks by Securities and Exchange Commission Caroline A. Crenshaw
March 30th, 2023
Remarks by Securities and Exchange Commission Chairman Gary Gensler
May 6th, 2022
Remarks by Securities and Exchange Commission Chairman Gary Gensler
April 26th, 2022
Statement of Commodity Futures Trading Commission Chairman Heath P. Tarbert in Support of Revisions to the Volcker Rule
September 16th, 2019
https://www.cftc.gov/PressRoom/SpeechesTestimony/tarbertstatement091619
Remarks by Securities and Exchange Commission Hester M. Pierce
November 28th, 2018
Remarks by Commodity Futures Trading Commission Christopher Giancario
November 28th, 2017
https://www.cftc.gov/PressRoom/SpeechesTestimony/opagiancarlo-33
Remarks by Board of Governors of the Federal Reserve Board System Vice-Chair Stanley Fischer, Is There a Liquidity Problem post-crisis
November 2016
https://www.federalreserve.gov/newsevents/speech/fischer20161115a.htm
Congressional Testimony before U.S. Senate Committee on Banking, Housing, and Urban Affairs by Federal Reserve Board System Governor Jerome H. Powell, Trends in US Fixed Income Markets
April 14th, 2016
https://www.federalreserve.gov/newsevents/testimony/powell20160414.htm
Remarks by Securities and Exchange Commission (SEC) Commissioner Elisse B. Walter
October 28th, 2010
http://www.sec.gov/news/speech/2010/spch102810ebw.htm
Remarks by Securities and Exchange Commission (SEC) Commissioner Roel C. Campos
June 8th, 2006
http://www.sec.gov/news/speech/2006/spch060806rcc.htm
Remarks by Securities and Exchange Commission (SEC) Commissioner Cunthia Glassman
May 19th, 2006
https://www.sec.gov/news/speech/2006/spch051906cag.htm
Remarks by Securities and Exchange Commission (SEC) Commissioner Annette L. Nazareth
February 7th, 2006
Regulatory Reports
Board of Governors of the Federal Reserve System, Financial Stability Report
May 2020
International Organization of Securities Commission (IOSCO) Report on Regulatory Reporting and Transparency in Secondary Corporate Bond Market
April 2018
Report to President Donald Trump by Treasury Secretary Mnuchin, A Financial System That Creates Economic Opportunity (Capital Markets Report)
October 2017
Report to the US Congress by the Securities and Exchange Commission, Access to Capital and Market Liquidity
August 2017
https://www.sec.gov/files/access-to-capital-and-market-liquidity-study-dera-2017.pdf
Board of Governors of the Federal Reserve System, Monitory Policy Report
July 2017
International Organization of Securities Commissioners (IOSCO) Report on Liquidity in the Corporate Bond Market Under Stress Conditions
June 2010
https://www.iosco.org/library/pubdocs/pdf/IOSCOPD634.pdf
Center for Economic Policy Research (CEPR) Report on European Corporate Bond Markets
May 2006
http://www.cepr.org/PRESS/TT_CorporateFULL.pdf
Financial Services Authority Report on Trading Transparency in UK Secondary Bond Market
September 2005
https://www.treasurers.org/ACTmedia/dp05_05.pdf
Securities and Exchange Commission's (SEC) Report on the Comparison of Order Executions Across Equity Market Structures
January 8th, 2001
Press Coverage
February 21st, 2006
September 22nd, 2006
October 2nd, 2006
Bloomberg News: "Bond Dealers Lose $1 Millions Incomes on Transparency"
October 24th, 2006
November 20th, 2006
International Herald Tribune: "EU Bows to Pressure From Banks; Market Regulator Decides Against More Disclosure"
November 22nd, 2006
November 25th, 2006
November 5th, 2007
November 19th, 2007
Barrons: "Short These Stocks"
July 6th, 2009
December 4th, 2012
April 9th, 2015
June 3rd, 2015
July 18th, 2017