The Fixed Income Clearing Corporation proposed rule amendments that are intended to make effective the SEC's recent adoption of requirements that members of a central clearing organization for U.S. government securities clear certain repo and cash market trades in U.S. governments.
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The SEC Division of Corporation Finance issued guidance on Division activities in the event of a government shutdown.
An SEC final rule expanding the definition of "broker-dealer" under the Securities Exchange Act was published in the Federal Register.
In an address before the Council of Institutional Investors, SEC Commissioner Mark T. Uyeda underscored the importance of adhering to statutory limits in the exercise of administrative power and enforcement, and called for a regulatory framework that provides clear, predictable guidelines for market participants.
The SEC adopted amendments to Regulation NMS Rule 605 to require "market centers," to make available standardized, monthly reports of statistical information concerning order executions in national market systems stocks.