FINRA adopted amendments to disseminate individual transactions in active U.S. Treasury securities at the end of the day.
News & Insights
The SEC extended consideration of a proposed rule change to shorten the time allowed for post-trade reporting of debt securities. The date to approve or disapprove the proposed rule was extended to April 24, 2024.
An investment adviser settled charges with the SEC for failing to timely disclose the adviser's "control" purpose, with respect to an issuer whose shares it had acquired for the account of a hedge fund that it managed.
FINRA adopted a new rule to require that broker-dealers file their order routing reports with FINRA to facilitate public dissemination of the information.
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.