NY’s New Cyber Law Shines Stronger Light on C-Level
(Chris Kentouris, FinOps Report)February 13, 2024
C-level executives at most financial firms operating in New York will have one more reason besides the fear of a data breach to change their corporate governance for cybersecurity this year– New
Regulatory News
-
Trade associations file joint lawsuit to oppose SEC dealer rule
('The Trade')
-
Democrats Ask SEC’s Gensler to Block Approval of More Crypto ETPs
('CoinDesk')
-
US prosecutors seek decades in prison for Sam Bankman-Fried
('Blockworks')
Regulatory Opinion & Analysis
- ESG Investing: The US Regulatory Perspective
(Morgan Lewis, Mana Behbin,Morgan Lewis, Kelly Gibson,Morgan Lewis, Elizabeth S. Goldberg)
- Introducing the 2024 TabbFORUM NOVA Awards: Honoring Top Innovators Across Financial Markets
(Contributing Editor, Jeff Kutler)
- Artificial Intelligence (AI) Enabled Records Management
(TCS, Rajendra Janvalekar,TCS, Jitendra Salunkhe)
- Updating Prime Brokerage Margin Models: The Need for Transparency and Real-Time Risk Management
(Cassini, Vardaan Kohli)
- 9 Things to Know About the SEC’s New Climate Rule and How It Affects You
(Morningstar, Charity Blue,Morningstar, Leslie Norton, )
- The Year of the Election – Unpredictable Events Need Vigilance at Banks
(Baton Systems, Alex Knight)
- The Wave: Clear Street’s John Oleon Dissects T+1
(TABB Group, Bruce Morris)
- Can the SEC’s Climate Disclosure Mandate Rule the Roost?
(ING, Coco Zhang,ING, Padhraic Garvey, CFA)
- The Wave: Broadridge’s Ray Tierney Discusses Sellside Technology
(TabbFORUM, Michael Scotti)
LiquidityMatrix
TABB Group’s LiquidityMatrix provides liquidity and pricing information on US Exchanges, ECNs, Dark Pools and Crossing networks. These reports have been a tremendous asset to the industry, as understanding liquidity both on- and off-exchange is becoming more challenging and complex.
Latest ReportRegulatory Intelligence Commentary: SEC Expands Broker-Dealer Registration Requirement: The Rule, The Consequences, The Legal Questions
The Securities and Exchange Commission adopted two new rules (the "Rules") requiring certain market participants that, in the words of the SEC, "play an increasingly significant liquidity providing role," to register with the SEC as broker-dealers pursuant to SEA Section 15 or as government securities broker-dealers pursuant to SEA Section...
ContinueVideos
In this edition of the Market Structure Wave video series, C...
In this edition of the Market Structure Wave video series, R...
In this edition of the Market Structure Wave video series, R...
Regulatory Research & White Papers
- Preparing for T+1 and Beyond
(John Oleon)
- Tokenization Data Insights by Blockdaemon
(Staff Report)
Most Commented
- No data found
Press Releases
- Report From FINRA Board of Governors Meeting – March 2024
March 15, 2024 (FINRA)
- IPC Systems, Inc. and Business Systems Partner to Deliver Future Proofed Data Management Strategies
March 14, 2024 (IPC Systems Inc.)
- CAPIS Announces New Partnerships to Enhance Outsourced and Supplemental Trading Service
March 13, 2024 (CAPIS)
- TradingHub Appoints CFO and Global Head of Sales and Relationship Management on the Heels of Rapid Growth
March 13, 2024 (Trading Hub)
- Sterling Trading Tech Brings Proprietary OMS and Risk Models to Asia
March 13, 2024 (Sterling Trading Tech)
Most Read