Senate Committee on Banking, Housing and Urban Affairs member Mike Rounds introduced six bills intended to reduce regulatory burdens for investors and small businesses.
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The House Financial Services Committee approved six bills intended to enhance capital formation.
SEC Investor Advocate Rick A. Fleming and Division of Economic and Risk Analysis Deputy Director Scott W. Bauguess described how the SEC can utilize data analytics to improve disclosure and the value of "big data" research.
The SEC Division of Trading and Markets sent a letter to FINRA CEO Robert Cook in which it recommended that FINRA review the regulation of U.S. Treasury Securities.