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News - August 21 2015

FINRA Examines Conflicts of Interest

This week, FINRA sent out a targeted exam letter to certain firms about their compensation practices.

News - August 14 2015

China Devalues Yuan

On Tuesday of this week, China began systematically lowering the value of the Yuan in relation to the U.S. Dollar.

News - August 07 2015

SEC Rules on CEO Pay Disclosure

This Wednesday, the SEC approved a rule requiring that public companies disclose the ratio of CEO pay to median employee pay.

News - July 31 2015

Volatility Returns to China

After a period of relative stability, Chinese equity markets have seen a pickup in volatility again this past week.

News - July 24 2015

Closing Auction Contingency Plan

We blogged two weeks ago about the NYSE shutdown that halted trading for four hours on Wednesday, July 8th, if the NYSE…

News - July 17 2015

Spotlight on Brazil

Interview with Esdras Vera, Bates Compliance Solutions Global Practice Leader.

News - July 10 2015

Equity Markets Move

It's been a rough week for equity markets around the globe: on Wednesday the NYSE suspended trading for over four hours, impacting…

News - June 26 2015

New Guidance on Automated Investment Tools

FINRA and the SEC have provided joint guidance on the use of automated investment tools -- the first time that either regulator…

News - June 22 2015

Bates Group and SIFMA Co-Host “The 2015 Leaders & Experts Forum“

Jennifer Stout, Bates Group President/CEO, and Alex Russell, Head of Bates Research, spoke at "Leaders & Experts Forum: A Mid-Year Conversation" co-organized by SIFMA and…

News - June 19 2015

SEC and FINRA Focus on Elder Investors

On June 10th, in remarks before the 2015 Reuters Wealth Management Summit in New York City, FINRA CEO Richard Ketchum mentioned that…

White Paper

Fixed Income Part Four - Reaching for Yield

News - June 12 2015

Housing Crisis? What Housing Crisis?

The effects of the Great recession are still being felt in the U.S. housing market. How will this impact future consumer spending?

White Paper

Fixed Income Part Three - Bond Fund Investment

News - June 05 2015

All Eyes on Interest Rates

Yesterday, Bates Research Group launched "Fixed Income Month," the details of which appear below. As we noted in an announcement to our…

White Paper

Fixed Income Part Two - Understanding Credit Ratings

News - May 29 2015

Mixed Signals for the U.S. Economy

In a recent speech, Federal Reserve Chair Janet Yellen expressed her view that interest rates would likely rise later in the year.…

News - May 15 2015

Chicago Debt Downgraded

Moody's took the city of Chicago's debt rating below investment-grade on Tuesday, marking the first time since Detroit that a city has…

News - May 08 2015

Google Bigtable in Financial Markets

This week Google entered the financial software market. Capitalizing on its deep experience with ”Big Data,” the company will provide SunGard Data…

News - May 01 2015

HFTs Create New Risks for BDs

Last week, we discussed the new allegations brought by the DOJ and CFTC against a UK trader for alleged market manipulation. This…

News - April 24 2015

UK Trader Charged in Flash Crash

On Tuesday, a single trader was arrested at his home in the United Kingdom, accused of market manipulation over the course of…

News - April 17 2015

DOL Proposes New Fiduciary Standard

On Tuesday the Department of Labor released its second proposal for new fiduciary standards that would apply to anyone providing advice to…

News - April 10 2015

New Money Market Rules Prompt Changes

This week major fund providers in the $2.7 trillion money market space took steps in anticipation of new regulations governing how money…

News - April 03 2015

Regulating Shadow Banks

Stone Mountain, Georgia played host to a meeting of prominent U.S. policy-makers and economists earlier this week. The event, held by the…

News - March 27 2015

HFTs to Register with FINRA

The SEC voted to amend Rule 15b9-1 on Wednesday in a move designed to bring more oversight to High Frequency Trading firms.…

News - March 19 2015

SEC Addresses Waiver Policy

There has been quite a bit of controversy lately surrounding the SEC's use of waivers, which Chair Mary Jo White decided to…

News - March 13 2015

Rate Hikes Could Trigger Regulator Action

Next Tuesday and Wednesday, the Federal Reserve Open Market Committee (FOMC) will meet to discuss potentially raising interest rates for the first…

White Paper

Fixed Income Part One - Fee Selection and Reverse Churning

News - March 06 2015

Fed Considers Muni Bonds as HQLA

2014 was a great year for municipal investors, who earned a return of 9.8%, their best since 2011. Municipal issuance was down…

News - February 27 2015

White House Backs Fiduciary Changes

On Monday, the White House announced new plans to help avoid "conflicts of interest" in the market for retirement advice. Almost simultaneously,…

News - February 20 2015

2015 Examination Priorities

Both FINRA and the SEC have now released their examination priorities for 2015. There are a number of areas of overlap between…