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Bates News  |  06-22-15

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 Bates Group LLC

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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.

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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?

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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.

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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.

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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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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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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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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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Page 38 of 45 pages.

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