Insights, Archived
Research, white papers and articles

SEC Rule 10c-1
Overview and Requirements Summary, Differences Between SEC 10c-1 and ESMA/FCA SFTR, Regulatory timelines, Real-Time Reporting of Individual Transactions, End of Day Reporting of Aggregate Security Information, Illustration of When to Report Aggregate Information.

Global Regulatory Reporting Rewrites
Overview, Regulatory Reporting Go-Live Dates, Adoption Rates of CPMI-IOSCOs CDEs, Other Notable Changes in Rewrites: CFTC, CSA, EMIR, JFSA, ASIC and MAS.

FINRA Rule 4210 Regulation Overview
Overview, Eligible Transactions – Covered Agency Transactions, Margin Requirements, TBA Transaction Example: Mark to Market Loss Not Exceeding MTA Exception, Mark to Market Loss Exceeding MTA Exception, Uncollected Margin by COB Next Business Date, Uncollected Margin by 5th Consecutive Business Date.

EMIR Refit Regulation Overview
Overview, Key Changes to Reporting Standards, EMIR Refit Regulatory Timelines, EMIR Refit Implementation Timeline

Overview T+1 Settlement
SEC has released an update on T+1 which will shorten the process for settling securities transactions from two business days to one. The final rule benefits investors and reduces the credit, market, and liquidity risk in securities transactions.