In comments in response to FINRA's and MSRB's proposal to shorten the time allowed for post-trade reporting in debt securities, SIFMA recommended that FINRA and MSRB reconsider if a one-minute trade reporting requirement is appropriate for fixed income markets.
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A convertible note financing business and its owners settled SEC charges for failing to register as a securities dealer.
Director of the SEC Office of Municipal Securities Dave A. Sanchez raised supervisory concerns over evolving deal structures amid low issuance in the municipal securities market.
In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
The SEC charged a firm and its sole officer for failing to register as a dealer in connection with its "convertible notes business."