FSOC to Implement Designation Process Changes - mfdf.org/forum_news_feeā€¦ Jan 30, 2015

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Forum News Feed

FSOC to Implement Designation Process Changes

January 30, 2015

At an open meeting last week, the Financial Stability Oversight Council (FSOC) discussed changes to the process for designating non-bank systemically important financial institutions (SIFIs). FSOC staff presented recommended changes to the designation process in three areas: earlier engagement with companies under review, more… read more

SEC Forms Equity Market Structure Advisory Committee

January 29, 2015

The SEC recently announced that it has formed an Equity Market Structure Advisory Committee in order to “provide a formal mechanism through which the Commission can receive advice and recommendations specifically related to equity market structure issues.” The committee is expected to meet quarterly… read more

UBS Settles Dark Pool Order Type and Reg NMS Charges

January 28, 2015

UBS Securities agreed last week to pay more than $14.4 million to settle charges with the SEC that it failed to disclose certain features of order types in its dark pool to all subscribers, and further that it violated provisions of Regulation NMS by… read more

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