The SEC reopened the comment periods for proposals to (i) expand the scope of Regulation ATS and (ii) expand regulation of private fund advisers. As outlined in a notice in the Federal Register, comments for both proposals are now due by June 13, 2022.
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The U.S. Treasury Department amended certain broker-dealer recordkeeping and reporting rules to conform to recently updated SEC rules for broker-dealers.
FINRA summarized the latest FINRA news, regulatory notices, guidance and resources in a July 2017 podcast.
FINRA summarized the latest FINRA news, regulatory notices, guidance and resources in a June 2017 installment of the Monthly Recap Podcast.
The U.S. Treasury Department requested reports from entities whose positions in certain May 2026 Notes exceeded $2.3 billion as of May 16, 2016.