Search
Showing 5121 results
FIA PTG comments on SEC Market Resiliency Proposal, Reg SCI
Principal Traders Group released the following statement today regarding the Securities and Exchange Commission’s Reg SCI proposal.
CONTINUE READINGPresentation for FCA and BoE on EMIR Implementation: Segregation & Portability
On 5 September the FOA gave a presentation for FCA and BoE on EMIR Implementation: Segregation & Portability.
CONTINUE READINGFIA PTG statement on CFTC Concept Release on Automated Trading
FIA Principal Traders Group today released the following statement regarding the concept release on automated trading issued today by the Commodity Futures Trading Commission:
CONTINUE READINGFIA PTG statement issued in connection with today's CFTC TAC meeting
FIA PTG issued the following statement regarding today’s U.S. Commodity Futures Trading Commission (CFTC) Technology Advisory Committee (TAC) meeting. The statement is attributable to Jim Overdahl, Delta Strategy Group, on behalf of FIA PTG:
CONTINUE READINGFIA letter to Basel regarding New Liquidity Requirement
FIA submit a letter commenting on Basel's Consultative Document on the Revised Basel III Leverage Ratio Framework.
CONTINUE READINGFIA PTG statement on Government Release of Market-Moving Data
The FIA Principal Traders Group issued a statement on Oct. 2 urging U.S. federal agencies to clarify the procedures by which they release market-moving data. FIA PTG said greater transparency would improve public confidence in the fairness and integrity of the release process and help to prevent misunderstandings and confusion:
CONTINUE READINGFIA PTG asks SEC to suspend ISE rule change
The FIA Principal Traders Group asked the Securities and Exchange Commission on Oct. 7 to suspend a rule change proposed by the International Securities Exchange that establishes a continuing education program for proprietary traders. The rule change requires trading permit holders to develop a continuing education requirement for their employees that meets the ISE’s Firm Element requirement, which is designed for firms that handle customer orders and addresses issues such as suitability and sales practices. The FIA PTG argued that this obligation does not make sense for proprietary trading firms that do not trade on behalf of customers. The FIA PTG also noted that the rule change was not submitted properly to the SEC and was not made available for public comment.
CONTINUE READINGFIA PTG Statement on Launch of SEC Public MIDAS Data Website
The FIA Principal Traders Group released the following statement supporting the release of the SEC MIDAS database:
CONTINUE READINGFIA PTG Issues Statement on SRO Plan to Strengthen Critical Market Infrastructure
The FIA Principal Traders Group issued the following statement today in response to a Nov. 12 joint announcement by self-regulatory organizations in the U.S. equities and options markets regarding efforts to strengthen critical market structure.
CONTINUE READINGFIA PTG Files Comment Letter on CSBX Membership
The FIA Principal Traders Group filed a comment letter with the Securities and Exchange Commission regarding a proposed rule filing by the Chicago Board Options Exchange. The proposed rule would require all CBSX permit holders to become FINRA members. The FIA PTG said the proposed rule would be costly and burdensome without commensurate benefit to the market, and suggested a simpler and more direct alternative: It is more appropriate for CBOE to obtain what they require to enforce federal rules by contracting with FINRA as other exchanges do.
CONTINUE READING