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Tag Archives: SEC

Jim Falvey – Derivatives Attorney Interview,Regulation,Video

Jim Falvey has been an attorney in the exchange and FCM space for over 15 years. He has served as general counsel of Eurex US and IntercontinentalExchange, as assistant general counsel for CME Group and, most recently, as general counsel and corporate secretary of R.J. O’Brien & Associates. He also sits on the advisory board of CMDirect, a web-based commodity trading platform. John Lothian News editor-at-large Doug Ashburn spoke with Falvey about the MF Global bankruptcy, the Volcker Rule, protection of segregated funds, conflicts of interest, and other compliance issues related to the Dodd-Frank Act.

Larry Tabb – TABB Group (Part 1) Interview,Regulation,Tech / HFT,Video

Larry Tabb

See part 2 of the interview here. Larry Tabb is the founder and CEO of TABB Group, an advisory and research firm focusing on issues surrounding financial markets. His research and publication topics include trading and trade processing systems, market structure, regulatory issues, and technology trends. He is a contributing editor for Wall Street & Technology and Advanced Trading magazines, and is a frequent speaker at major business and industry conferences. John Lothian News Editor-at-Large Doug Ashburn spoke with Tabb about the future of OTC derivatives, capital and margin requirements.

Allan Horwich – Schiff Hardin LLP Interview,Regulation,Video

Allan Horwich

Allan Horwich, partner at Schiff Hardin LLP and senior lecturer at the Northwestern University School of Law, talked to John Lothian News (JLN) web content editor Nicole V. Rohr about SEC enforcement provisions that passed with the signing of the Dodd-Frank financial reform bill. Horwich explains the SEC’s expanded rights and responsibilities, and how budgetary constraints are affecting the Commission’s ability to bring cases. On September 30, 2011, the Wall Street Journal published an article concerning securities violation suits filed by the SEC, and overall changes to the SEC’s enforcement strategy.

James Overdahl – National Economic Research Associates (NERA) Interview,Regulation,Video

James Overdahl is vice president in NERA’s Securities and Finance Practice and former chief economist and director of the Office of Economic Analysis for the Securities and Exchange Commission (SEC). He spoke with Jim Kharouf, editor-in-chief of John Lothian News (JLN) about the cost of regulation and the way recent court cases are taking economic analysis into account.

Lisa Noller – Foley & Lardner LLP Interview,Regulation,Video

Lisa Noller

Lisa Noller, litigation partner in Government Enforcement, Compliance and White Collar Crime at Foley & Lardner LLP in Chicago, spoke with John Lothian News (JLN) web content editor Nicole V. Rohr about the passing of final SEC whistleblower rules. Among other things, Noller explains what companies should prepare for the SEC following a whistleblower complaint by an employee. For more on SEC whistleblower rules, visit MarketsReformWiki.

Floyd M. Converse – LCH.Clearnet Ltd Interview,Regulation,Video

Floyd M. Converse, head of sales and marketing in the U.S. for SwapClear, a global clearing service for over-the-counter (OTC) interest rate swaps run by LCH.Clearnet Ltd., spoke with John Lothian News (JLN) editor-in-chief Jim Kharouf about FCM regulation and changes to the SEF landscape. Converse also explains what we can expect from global regulation affecting the OTC interest rate swap market and what firms should do to prepare.

Tammy Botsford – Penson Futures Interview,Regulation,Video

Tammy Botsford

Tammy Botsford, vice president and deputy general counsel at Penson Futures, spoke with John Lothian News (JLN) editor-in-chief Jim Kharouf about the Dodd-Frank Act and the current status of the reform process. Botsford also spoke about rule proposals on position limits, credit ratings and segregated funds, as well as the costs of regulation and how new rules will likely be rolled out for market participants.

Five Minutes with Adam Rochlin Interview,Managed Futures,Regulation

Adam Rochlin, senior vice president for alternative investment strategies at MF Global, believes in retirement investment options. As such, he is pushing for regulatory cooperation that would allow everyone the chance to invest in managed futures as part of their 401(k) retirement accounts. Rochlin shared his ideas on how to make managed futures available to the masses. Q: Why should managed futures be allowed into 401 k plans? A: The fundamental benefits of managed futures are: you get diversification from traditional assets like stocks and bonds. And you get return potential. And at the underlying investment or portfolio manager level,…