Searching Content indexed under Debt Capital Markets by Steven Lofchie ordered by Published Date Descending.
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Trade Associations Request Extension Of Comment Period For Security-Based Swap Rules
Several trade associations requested that the SEC extend the comment period for its proposed rules on capital, margin and segregation requirements for security-based swaps.
United States
9 Nov 2018
SEC Commissioner Urges Agency To Facilitate Competition In Capital Markets
SEC Commissioner Robert J. Jackson, Jr. called upon the agency to focus on the "forgotten fourth pillar" of its mission: facilitating competition in capital markets.
United States
24 Oct 2018
CFTC Chair Opposes Proposed EU Cross-Border Legislation
CFTC Chair J. Christopher Giancarlo warned European Union regulators that the agency does not approve of and will oppose any proposed cross-border legislation that is conflicting or overly burdensome.
19 Oct 2018
Treasury Releases Recommendations For Capital Markets Regulatory Reforms
The U.S. Treasury Department ("Treasury") released a second report pursuant to President Donald J. Trump's Executive Order establishing core principles for improving the financial system.
United States
16 Oct 2017
SEC Issues Report On Access To Capital And Market Liquidity
The SEC Division of Economic and Risk Analysis ("DERA") issued a report on how Dodd-Frank and other financial regulations have impacted (i) access to capital and (ii) market liquidity.
United States
18 Aug 2017
Market Experts Criticize Sarbanes-Oxley, Urge Capital Formation Reforms
At a hearing before the House Financial Services Subcommittee on Capital Markets, Securities and Investment, market experts discussed the decline in public offerings, the effects of the Sarbanes-Oxley Act...
United States
1 Aug 2017
SEC Commissioner Kara Stein Addresses Capital Markets Issues
SEC Commissioner Kara Stein shared her views on the current state of U.S. capital markets and addressed several key issues.
United States
25 Jul 2017
Federal Register: Treasury Asks Public To Help Reduce Regulatory Burdens
The U.S. Treasury Department requested recommendations and information from the public to identify Treasury regulations that can be "eliminated...
United States
26 Jun 2017
Financial Services Subcommittee Considers Impact Of Volcker Rule On Capital Markets (With Delta Strategy Group Summary)
The House Financial Services Subcommittee on Capital Markets, Securities, and Investment examined the impact of the Volcker Rule on the U.S. capital markets.
United States
7 Apr 2017
SEC Acting Chair Piwowar Emphasizes Disclosure In Regulation Of Capital Markets
Acting Chair Piwowar also touched on the subjects of enforcement, international cooperation, and emerging issues in FinTech.
United States
7 Apr 2017
NASAA President Mike Rothman Testifies On The Impact Of The JOBS Act And Reg A+
North American Securities Administrators Association ("NASAA") President Mike Rothman testified before the House Committee on Financial Services, Capital Markets Subcommittee on the impact of the JOBS Act on U.S. capital markets.
United States
5 Apr 2017
IOSCO Requests Comments On Study Of Liquidity In Corporate Bond Markets
IOSCO requested comments on a consultation report reviewing liquidity issues in the secondary corporate bond markets.
United States
12 Aug 2016
Senators Urge SEC To Investigate Financial Advisor Misconduct In Puerto Rico
Seven Senate Democrats called on the SEC to investigate any possible misconduct by the financial advisors of municipal entities in Puerto Rico during the years that led to the country's current "dire debt crisis."
Puerto Rico
24 Jun 2016
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