The SEC Division of Investment Management declined a request to take a no-action position from a registered investment company that sought to exclude proxy materials on a shareholder proposal to "declassify" the Fund's Board.
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An SEC final rule expanding the definition of "broker-dealer" under the Securities Exchange Act was published in the Federal Register.
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.
A cryptocurrency exchange settled charges for failing to register with the SEC as a "dealer" in securities.
The SEC extended consideration of a proposed rule change to shorten the time allowed for post-trade reporting of debt securities. The date to approve or disapprove the proposed rule was extended to April 24, 2024.