Fixed-Income Advisory Content

[33003] December 22, 2020 TO: Derivatives Markets Advisory Committee Equity Markets Advisory Committee Fixed-Income Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee RE: ESMA Consultation on MiFID II/R Market Data Obligations: Draft Comment...

On December 21, 2020, Securities and Exchange Commission (“Commission”) Chairman Jay Clayton issued a statement announcing that the Commission’s Division of Trading and Markets released its staff report on the Fixed Income Market Structure Advisory Committee’s work over the past year...

[32973] December 10, 2020 TO: Derivatives Markets Advisory Committee Equity Markets Advisory Committee Fixed-Income Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee RE: ESMA Consultation on MiFID II/R Market Data Obligations: Member Call...

[32968] December 8, 2020 TO: ICI Members Investment Company Directors ICI Global Members LIBOR Transition Working Group SUBJECTS: Alternative Investments Bank Regulation Closed-End Funds COVID-19 Exchange-Traded Funds (ETFs) Financial Stability Fixed Income Securities Investment...

[32942] November 24, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Disclosure Financial Stability Fixed Income Securities Fund Governance Money Market Funds Operations Risk Oversight Trading and Markets RE: Chairman Clayton Speech Reviews Tenure, Suggests Areas for...

[32838] October 16, 2020 TO: ICI Members Investment Company Directors ICI Global Members Derivatives Markets Advisory Committee LIBOR Transition Working Group SUBJECTS: Compliance Derivatives Financial Stability Fixed Income Securities RE: LIBOR Update: Financial Stability Board...

[32799] October 5, 2020 TO: Equity Markets Advisory Committee Fixed-Income Advisory Committee RE: SEC Fixed Income Market Structure Advisory Committee Meeting Scheduled for Monday, October 5 - Agenda Available The Securities and Exchange Commission (SEC) Fixed Income Market Structure...

[32795] October 1, 2020 TO: Fixed-Income Advisory Committee RE: SEC Proposes to Apply Regulation ATS and Regulation SCI to US Government Securities Markets On September 28, the SEC proposed amendments to Regulation ATS to require an alternative trading system (ATS) that trades...

The CFTC Divisions of Swap Dealer and Intermediary Oversight (DSIO), Market Oversight (DMO), and Clearing and Risk (DCR) recently revised and expanded previously-issued no-action letters that provide relief to swap dealers (SDs) and other market participants related to the transition...

[32701] August 24, 2020 TO: Fixed-Income Advisory Committee RE: FINRA Requests Comment on Pennying in the Corporate Bond Market FINRA recently published a regulatory notice (“FINRA Notice”) requesting comment on the practice of “pennying” in the corporate bond market on electronic...