The SEC solicited comment on a FINRA proposal to create a new Academic Corporate Bond TRACE Data product that would be available to institutions of higher education. The FINRA proposal was published in the Federal Register.
FINRA's Board of Governors approved a proposal that would require member firms to disclose the "mark-up" or "mark-down" on retail customer confirmations for a majority of debt securities and corporate transactions.
The SEC Advisory Committee on Small and Emerging Companies considered (i) recommendations related to intrastate crowdfunding; (ii) the treatment of so-called "finders" that assist companies in capital-raising activities; and (iii) improving public company disclosure. In her remarks, Chair Mary Jo...
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