The SEC Department of Examinations observed deficiencies with respect to compliance programs, conflicts of interest and disclosures in the practices of investment advisers executing principal and cross trades in fixed income securities.
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SEC staff summarized the activities of the Fixed Income Market Structure Advisory Committee over the past year.
The SEC adopted rule amendments to "simplify and streamline" the financial disclosure requirements for certain guarantors and issuers under regulations concerning registered debt offerings.
In its Annual Report, the SEC Investor Advocate identified several areas of concern for investors, including: (i) reverse factoring; (ii) dual-class share structures and (iii) LIBOR transition issues.
SEC Chair Jay Clayton extended the charter of the Fixed Income Market Structure Advisory Committee for another year.