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FIA PTG supports FINRA proposed enhancements to TRACE reporting for US Treasury Securities
In a letter filed with FINRA today, the FIA Principal Traders Group (FIA PTG) supported proposed enhancements to TRACE reporting for US Treasury Securities.
CONTINUE READINGThe SEC’s new derivatives rule: practical implications for funds
The SEC recently adopted Rule 18f-4 under the 1940 Act, which will establish a comprehensive framework for the use of derivatives transactions by registered funds.
CONTINUE READINGSpecial Report Series - Part Five: Commodity Derivatives Under MiFID II
This Special Report is the fifth in a series covering specific areas of the European Securities and Markets Authority’s consultation process for the implementation of the recast Markets in Financial Instruments Directive II (2014/65/EU) and Markets in Financial Instruments Regulation (Regulation 600/2012), which together are referred to as “MiFID II” and come into effect on 3 January 2017.
CONTINUE READINGFIA responds to IOSCO consultation on market data
On 26 February, FIA responded to an International Organization of Securities Commissions (IOSCO) consultation on access to market data in secondary equity markets.
CONTINUE READINGFIA Speaks Episode 15: Larry Thompson
In this episode, FIA President and CEO Walt Lukken talks to derivatives legend Larry Thompson about his long career at DTCC, Robinhood app issues and his advice for people just starting out in the industry. Larry recently retired from being General Counsel of the Depository Trust and Clearing Corporation, where he spent nearly 40 years but he’s not sitting still by any means. Larry remains actively involved in several corporate and fintech boards as well as charitable efforts.
CONTINUE READINGFIA EPTA response to the IOSCO consultation on Market Data in the Secondary Equity Markets (CR03/2020)
The FIA European Principal Traders Association (FIA EPTA) welcomes the opportunity to respond to the International Organization of Securities Commissions (IOSCO) Consultation Report on market data in the secondary equity markets. In today’s markets, market data is of crucial importance for a wide range of investors and market participants – including FIA EPTA member firms.
CONTINUE READINGFIA PTG supports SEC expansion of Regs ATS and SCI to Government Securities ATSs
In a letter filed with the U.S. Securities and Exchange Commission (SEC) today, the FIA Principal Traders Group (FIA PTG) supported the proposed expansion of Regulations ATS and SCI to include Government Securities alternative trading systems (ATSs).
CONTINUE READINGEurope's algorithmic trading rules come under the microscope
FIA European Principal Traders Association (FIA EPTA) hosted a webinar on 24 February that reviewed European algorithmic trading rules under MiFID II and discussed suggestions put forward by the European Securities and Markets Authority for potential changes to the regime.
CONTINUE READINGBrooksley Born
Brooksley Born served as chair of the US Commodity Futures Trading Commission from 1996 to 1999.
CONTINUE READINGBryan T. Durkin
Bryan Durkin is a former president of CME group and currently serves on its board of directors.
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