Category: Seminar and Conference Takeaways

At a roundtable discussion sponsored by SIFMA and held at the offices of Morgan Lewis in Washington DC, and then over a working lunch, various representatives from FINRA, the SEC, and the MSRB met with industry member firms to offer insights into recent regulatory issues and findings. The following is a brief summary of those comments. I would be glad to discuss any of the topics in more detail with those who wish to contact me.

Continue reading “Takeaways from Sifma Meet the Regulators 10.1.18”

I recently watched a video recording of a panel discussion held by the SEC’s Fixed Income Market Structure Advisory Committee (FIMSAC). The topic was Pre- Trade Price Transparency (PTPT). The Committee has been seeking information on the current status of PTPT, and what changes could be made to improve it. These are some of my thoughts.

Continue reading “Where is the Data Taking Us?”