News - Bates Research

Bates Research  |  07-31-15

Volatility Returns to China

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


Bates Research  |  07-24-15

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 had been unable to resume trading that day, an important function would have been missed: the closing auction of the day.


Bates Research  |  07-17-15

Spotlight on Brazil

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


Bates Research  |  07-10-15

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 nearly $28 trillion in listed stocks.


Bates Research  |  06-26-15

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 has definitively recognized the category of automated investing.


Bates Research  |  06-19-15

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 the agency is currently drafting guidance for brokers dealing with elder investors.


Bates Research  |  06-12-15

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?


Bates Research  |  06-05-15

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 clients, the Federal Reserve meeting this month may usher in a new cycle of rising interest rates.


Bates Research  |  05-29-15

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. However, economic signals have been mixed, and that could potentially push any rate increase into 2016.


Bates Research  |  05-15-15

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 fallen below that line.


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