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SEC Announces 2016 Priorities

Bates Research  |  01-14-16

SEC Announces 2016 Priorities

Last week we got FINRA's 2016 priorities, and this week the SEC announced theirs.

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SEC Announces 2016 Examination Priorities

 |  01-11-16

SEC Announces 2016 Examination Priorities

New Areas of Focus Include Liquidity Controls, Public Pension Advisers, Product Promotion, Exchange-Traded Funds and Variable Annuities

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FINRA Announces 2016 Priorities

Bates Research  |  01-08-16

FINRA Announces 2016 Priorities

FINRA released its priorities for 2016 this week, with many new priorities appearing on this year’s list. While many of the same (or similar) target areas appear, we wanted to highlight a few new ones that may be of interest to you.

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2016 FINRA Regulatory and Examination Priorities Announced

 |  01-06-16

2016 FINRA Regulatory and Examination Priorities Announced

FINRA’s 2016 Regulatory and Examination Priorities Letter identifies both new areas of focus as well as areas of recurring concern. We first address three broad issues—culture, conflicts of interest and ethics; supervision, risk management and controls; and liquidity— and then discuss more narrowly focused topics. As always, there is a tension between our desire to be brief with this letter while also addressing the many areas of potential concern that can arise across the breadth of the securities industry.

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Bates News, Bates Research  |  12-18-15

Federal Reserve Raises Interest Rates for First Time Since 2006

On Thursday, the Federal Reserve announced that it would raise interest rates by 0.25%, the first interest rate rise in nearly a decade. This widely-expected rate rise comes as the Fed believes economic growth in the U.S. is continuing at a moderate pace with solid gains in “household spending and business fixed investment.”

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Bates Research  |  12-04-15

Changing of the Guard for Euribor

The European Money Markets Institute (EMMI) recently published a position paper outlining proposed changes to the Euribor, one of the world’s major benchmarks for determining interest rates.

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Bates News  |  12-01-15

Meet Our New Experts

We are proud to announce our new Affiliate Experts and Consultants. Below are brief biographies of our new experts. 

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Bates News  |  11-24-15

Bates Group -Ulmer Berne’s 2015 Broker-Dealer Compliance Roundtable a Success

On Wednesday, November 18, 2015, Bates Group LLC and Ulmer Berne co-hosted a 2015 Broker-Dealer Compliance Roundtable breakfast in Chicago, Illinois.

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Bates Research  |  11-13-15

FINRA and Trade Data Oversight

FINRA handles more data on market events in a single day than MasterCard processes in a year.

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Bates Research  |  11-06-15

Criminal Conviction in Spoofing Case

After hearing the case of Panther Energy Trading head Michael Coscia, it took jurors only one hour to return a criminal conviction, one that will have a lasting impact on market traders and especially on high frequency trading firms.

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Page 35 of 45 pages.

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