With the shutdown of the U.S. federal government, the financial markets regulators — the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) — have issued guidelines to help staff members and market participants maintain some regulatory requirements. During the shutdown, the SEC “will have only an extremely limited number of staff… Read More >>
Ops Lessons from the Shutdown?
Most firms on Wall Street, regardless of political affiliation, probably see the federal government shutdown combined with the debt ceiling crisis as a waste of time and money especially when the U.S. recovery needs all the help it can get from Washington. For securities operations, though, there is a little cold comfort in the takeaways… Read More >>
