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Market Data Regulation
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Updates
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SEC
Office Of International Affairs And Divisions Of Market Regulation And
Corporation Finance Release Fact Sheet
June 16,
2006 |
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FISD EC Member Testifies on Market Data
Piracy
November 30,
2005 |
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SEC Solicits Software Industry Input for
Helping Manage Interactive Financial Data
October 18 2005
As part of its ongoing
efforts to make financial disclosure more useful and accessible to investors,
the Securities and Exchange Commission (SEC) on October 4th, released a formal
Request for Information (RFI) to the software industry to assist the SECs staff
in identifying ways to receive, store, view and analyze interactive financial
data. Specifically, the SEC has identified the purpose of the RFI to "to gather
additional information to help the SEC to understand the capabilities of
Extensible Business Reporting Language (XBRL) and related software packages and
to identify qualified vendors who might be able to meet our future
requirements." Because this initiative would
directly affect many FISD members,
SIIA is seeking feedback regarding
potential comments to be filed by FISD/SIIA. We
request that you provide feedback to SIIA by November
8, 2005, regarding potential comments to be filed by the Association. Additional
information regarding the SEC RFI and background on this issue, visit the Policy
Update on SIIA's web site at:
http://www.siia.net/govt/docs/members/fin_update_100605.pdf. If you
have questions or would like to discuss this in greater detail, please contact
David LeDuc, SIIAs Director of Public Policy, at 202-789-4443 or
dleduc@siia.net. |
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FISD Comment
Letter to SEC on re-proposed Regulation NMS
January 26, 2005 |
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FISD Responds to CESR Consultation Document
October 12, 2004
FISD responded to the Committee of European Securities Regulators
(CESR) consultation document on Possible Implementing Measures of the Directive
2004/39/EC on Markets in Financial Instruments (MiFID). The Directive seeks to
establish a new legal and regulatory framework for the European Securities
Markets. To view industry responses to the CESR document:
http://www.cesr-eu.org/ .
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SEC Announces Initiative to
Assess Benefits of Tagged Data in Commission Filings
July 22, 2004 |
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Text of EU Investment
Services Directive 2
July 15, 2004
This is the text of the ISD2 from the Official Journal of
the European Union. Also please see CESRs Advice on Possible Implementing
Measures of the Directive 2004/39/EC on Markets in Financial Instruments
http://www.cesr-eu.org (click on "consultations" on the left navigation bar and view the text dated 17
June 2004).
Comments are due on September 17. |
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FISD comments to the
Concept Release on Securities Transactions Settlement
June 13, 2004
(Release No.
33-8398; 34-49405; IC-26384; File No. S7-13-04). |
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Concept
Release: Securities Transactions Settlement
March 15, 2004
The Securities and Exchange Commission ("Commission") is
seeking comment on methods to improve the safety and operational efficiency
of the U.S. clearance and settlement system and to help the U.S. securities
industry achieve straight-through processing. |
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Proposed Rule:
Regulation NMS
March 9,2003
The Securities and Exchange Commission (SEC) is publishing
Regulation NMS for public comment. In addition to redesignating the existing
national market system rules adopted under Section 11A of the Securities
Exchange Act of 1934, Regulation NMS would incorporate four substantive
proposals that are designed to enhance and modernize the regulatory
structure of the U.S. equity markets. Comments must be received on or before
May 24, 2004.
Supplement to Proposed Rule |
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Commission Sets Dates for Market Structure Hearings
October 15, 2002
The SEC will hold hearings on Tuesday, Oct. 29, 2002 in
Washington, D.C., and on Tuesday, Nov. 12, 2002, at the NYU Stern School of
Business in New York City. The hearings will address a variety of topics,
including: the collection, consolidation and dissemination of market data
through intermarket plans; broker-dealers' duty of best execution and
corresponding marketplace rules relating to intermarket access, trade-throughs,
and price protection; the role of national securities exchanges, electronic
communications networks (ECNs), and alternative trading systems; and the
self-regulatory system. |
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FISD
Analysis of the Final Report of the SEC Advisory Committee on
Market Information
February 4, 2002
FISD's summary and analysis of the
essential issues under debate by the Securities & Exchange
Commission's Advisory Committee on Market Information. Also
included is a synopsis of the recommendations contained in the
final report (delivered to the SEC on September 14, 2001). |
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SEC Market Data Advisory Committee Final Report
September 14, 2001
The final report of the SEC Market Data
Advisory Committee has been submitted to the Commission. The
report and a link to the 31 appendices are posted on the
SEC web site. FISD was a member
of the Advisory Committee. We are in the process of writing a
summary of the significant findings for FISD members.
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Concept Releases
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SEC Concept
Release on Regulation of Market Information Fees and Revenues |
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FISD Summary of Concept Release
January 13, 2000 |
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FISD Response to Concept Release
March 23, 2000 |
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Industry
Comment Letters |
Meeting Reports and Related Documents
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Securities and Exchange Commission
Advisory Committee on Market Information Agenda for Sixth Meeting
July 19, 2001 |
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FISD's Memo to SEC on Options Data
July 17, 2001 |
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Bloomberg Letter to SEC on Definition
of Core Market Data
July 12, 2001 |
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NYSE Letter to SEC on Definition of
Core Market Data
July 6, 2001 |
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Nasdaq Letter to SEC on Definition
of Core Market Data
June 14, 2001 |
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Securities and Exchange Commission
Advisory Committee on Market Information Agenda for Fifth Meeting
May 14, 2001 |
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Memo on Result of Survey of Market Data
Vendors on the Impact of Multiple Consolidators as Requested by the
Commission
April 25, 2001
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SEC Advisory Committee on Market
Information Subcommittee on Alternative Models Summary Minutes
April 16, 2001 |
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Presentation to SEC Advisory
Committee on Market Data Management Issues
April 12, 2001 |
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FISD Memo to SEC Advisory Committee on
Market Data Management Issues
April 2, 2001 |
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SEC Advisory Committee on Market Information
Agenda
March 1, 2001 |
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American Stock
Exchange Agenda Response |
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Charles Schwab Agenda Response |
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Nasdaq Cover Letter on Agenda
Response |
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Nasdaq Agenda Response |
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NYSE Agenda Response |
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NYSE Agenda Response, App A |
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NYSE Agenda Response, App B |
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Archipelago Responses |
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SEC Advisory Committee on Market
Information Meeting Agenda
December 14, 2000 |
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NYSE Comment File |
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Reuters Comment File |
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Island Comment File |
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Charles Schwab Comment File |
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Archipelago Comment File |
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SEC Advisory Committee on Market
Information FISD Analysis
December 14, 2000 |
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SEC Advisory Committee on Market Information Meeting Minutes
December 14, 2000 |
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SEC Advisory Committee on Market
Information Meeting Transcript
October 10, 2000 |
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SEC Advisory Committee on Market
Information Meeting Summary
October 10, 2000 |
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SEC Advisory Committee on Market
Information Analysis
October 10, 2000 |
Other
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Industry Response to Report of
the Advisory Committee
Carrie E. Dwyer, Schwab; Devin Wenig, Reuters;
Michael T. Dwyer, Knight Trading Group; Edward Nicoll, Datek
October 16, 2001 |
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Memo on Data Dissemination
Tom Demchak,SIAC
May 10, 2001
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Summary of Subcommittee on Alternative
Models Discussions Don Langevoort, Georgetown University Law
School
May 7, 2001 |
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Memo on Economic Issues Associated
with Market Data Dissemination
Simon Johnson, MIT
May 7, 2001 |
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Professor Michael J. Barclay,
University of Rochester, Response
February 20, 2001 |
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Nasdaq: New Approaches to Market
Information
February 19, 2001 |
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SEC Amicus Curiae Submission on OPRA
February 2, 2001 |
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SEC Advisory Committee on Market
Information Chair Dean Joel Seligman Speech at SIA
February 1, 2001 |
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National Market
System: A Vision That Endures Arthur Levitt, SEC
January 8, 2001 |
Links
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SEC
Advisory Committee on Market Information Home Page |
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Securities Industry
Association Home Page |
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FISD Comment Letter to FSA regarding MiFID
February,
2005 |
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