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.
The CFTC extended the comment period until April 11, 2024, for its proposed rule ("NPRM") on real-time public reporting requirements and swap data recordkeeping and reporting requirements.
FINRA adopted a new rule to require that broker-dealers file their order routing reports with FINRA to facilitate public dissemination of the information.