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Chicago Debt Downgraded

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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Google Bigtable in Financial Markets

Bates Research  |  05-08-15

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 Systems with new software that will help to process over 6 billion trades an hour.

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HFTs Create New Risks for BDs

Bates Research  |  05-01-15

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 week, we've invited one of our experts to discuss the issues raised for Broker-Dealers and exchanges who now regularly deal with clients who are high frequency traders.

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UK Trader Charged in Flash Crash

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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DOL Proposes New Fiduciary Standard

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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New Money Market Rules Prompt Changes

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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Regulating Shadow Banks

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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HFTs to Register with FINRA

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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SEC Addresses Waiver Policy

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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Rate Hikes Could Trigger Regulator Action

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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