Regulatory Coverage

Commodity Futures Trading Commission - Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity

November 14, 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

May 2, 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 18, 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 18, 2015

Document No. 3235-AK 79

https://www.sec.gov/rules/final/2015/34-74246.pdf

Securities and Exchange Commission, FInancial Industry Regulatory Authorituy, Inc.: Approval of Amendments to Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Asset-Backed Securities

February 24, 2014

Document No. 34-71607

https://www.sec.gov/rules/sro/finra/2014/34-71607.pdf

Securities and Exchange Commission, Financial Industry Regulatory Authority, Inc.; Order Granting Approval of Proposed Rule Change Relating to the Dissemination of Transactions in TRACE- Eligible Securities that are Effected Pursuant to Securities Act Rule 144A

September 6, 2013

Document No. 34-70345

https://www.sec.gov/rules/sro/finra/2013/34-70345.pdf

Securities and Exchange Commission, NYSE Arca, Inc.; Order Granting Approval to Implement a One-Year Pilot Program for Issuers of Certain Exchange-Traded Products Listed on the Exchange

June 6, 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 20, 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 9, 2012

Document No. 3038-AD08

https://www.cftc.gov/LawRegulation/FederalRegister/FinalRules/2011-33173.html

Commodity Futures Trading Commission Real-Time Public Reporting Requirements for Swap Transactions

April 17, 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 12, 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 17, 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 28, 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 2, 2010

Document No: 3235-AK 80

https://www.sec.gov/rules/proposed/2010/34-63346fr.pdf

Statement of Commodity Futures Trading Commission Chairman Heath P. Tarbert in Support of Revisions to the Volcker Rule

September 16, 2019

https://www.cftc.gov/PressRoom/SpeechesTestimony/tarbertstatement091619

Remarks by Commodity Futures Trading Commission Chairman Christopher Giancario

November 28, 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 14, 2016

https://www.federalreserve.gov/newsevents/testimony/powell20160414.htm

Remarks by Securities and Exchange Commission (SEC) Commissioner Elisse B. Walter

October 28, 2010

http://www.sec.gov/news/speech/2010/spch102810ebw.htm

Remarks by Securities and Exchange Commission (SEC) Commissioner Roel C. Campos

June 8, 2006

http://www.sec.gov/news/speech/2006/spch060806rcc.htm

Remarks by Securities and Exchange Commission (SEC) Commissioner Cunthia Glassman

May 19, 2006

https://www.sec.gov/news/speech/2006/spch051906cag.htm

Remarks by Securities and Exchange Commission (SEC) Commissioner Annette L. Nazareth

February 7, 2006

http://www.sec.gov/news/speech/spch020706aln.htm

International Organization of Securities Commissioners (IOSCO) Report on Regulatory Reporting and Transparency in Secondary Corporate Bond Market

April 2018

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Report to President Donald Trump by Treasury Secretary Mnuchin, A Financial System that creates economic opportunities (Capital Markets Report)

October 2017

https://www.treasury.gov/press-center/press-releases/Documents/A-Financial-System-Capital-Markets-FINAL-FINAL.pdf

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 8, 2001

http://www.sec.gov/pdf/ordrxmkt.pdf

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