News - Bates Research

Bates Research  |  04-24-15

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 the last five years, and of playing a role in the Flash Crash of May 2010.

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Bates Research  |  04-17-15

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 retirees.

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Bates Research  |  04-10-15

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 market funds are priced.

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Bates Research  |  04-03-15

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 Federal Reserve Bank of Atlanta, met to discuss "shadow banking" and its implications for monetary policy and stability.

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Bates Research  |  03-27-15

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. We've blogged previously about bringing oversight to HFTs (more general detail regarding HFTs can be found in our White Paper here), and this appears to be the first step in that process.

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Bates Research  |  03-19-15

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 address last Thursday.

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Bates Research  |  03-13-15

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 time since they lowered them to 0-0.25% on December 16, 2008.

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Bates Research  |  03-06-15

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 from its long-term averages in 2014, and the market’s ample appetite quickly scooped them up.

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Bates Research  |  02-27-15

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, the President's Council of Economic Advisors produced a research report presenting findings on the impact of conflicts of interest on retirement account values.

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Bates Research  |  02-20-15

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 the two agencies’ priorities for this year, as can be expected.

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Page 23 of 29 pages.

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