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

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

Document No: 3235-AM 00

https://www.sec.gov/rules/final/2019/33-10618.pdf

Securities and Exchange Commission, Registration and Regulation of Security-Based Swap Information

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

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

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

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

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

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

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

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

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

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

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

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

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

Remarks by Commodity Futures Trading Commission Chairman Christopher Giancario

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

https://www.federalreserve.gov/newsevents/speech/fischer20161115a.htm

Remarks by Securities and Exchange Commission (SEC) Commissioner Mike Piwowar

https://www.sec.gov/news/speech/piwowar-remarks-finra-2016-fixed-income-conference.html

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

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

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

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

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

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

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

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

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

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

Board of Governors of the Federal Reserve System, Financial Stability Report

https://www.federalreserve.gov/publications/files/financial-stability-report-20200515.pdf?utm_source=newsletter&utm_medium=email&utm_campaign=newsletter_axiosmarkets&stream=business

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

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

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

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

https://www.federalreserve.gov/monetarypolicy/2017-07-mpr-part1.htm

International Organization of Securities Commissioners (IOSCO) Report on Liquidity in the Corporate Bond Market under stress conditions

https://www.iosco.org/library/pubdocs/pdf/IOSCOPD634.pdf

Center for Economic Policy Research (CEPR) Report on European Corporate Bond Markets

http://www.cepr.org/PRESS/TT_CorporateFULL.pdf

Financial Services Authority Report on Trading Transparency in UK Secondary Bond Market

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

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