A broker-dealer settled charges with FINRA for engaging in 717 instances of "spoofing" in the Treasury securities secondary market.
News & Insights
The SEC set a new comment deadline of June 13, 2023 for a proposal that would amend the statutory definition of "exchange" to include trading systems that facilitate the trading of crypto asset securities.
The SEC reopened the comment period for a proposal that would amend the statutory definition of "exchange" to include trading systems that facilitate the trading of crypto asset securities.
SEC Chair Gary Gensler called for greater transparency and resiliency in U.S. treasury markets to promote competition. He highlighted projects the SEC has undertaken with Treasury and the NY Fed to improve the market.
Comments on a FINRA proposal to require TRACE reporting of transactions in U.S. dollar-denominated foreign sovereign debt securities must be submitted by June 7, 2022 .