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 Alternative Investment Management Association, the Managed Funds Association and the National Association of Private Fund Managers filed a Complaint against the SEC to vacate the agency's recently adopted rule to change the definitions of "dealer" and "government securities dealer.”
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.