The Fixed Income Clearing Corporation proposed rule amendments that are intended to make effective the SEC's recent adoption of requirements that members of a central clearing organization for U.S. government securities clear certain repo and cash market trades in U.S. governments.
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SEC Commissioner Jaime Lizárraga criticized the Investment Advisory Committee's draft recommendations on digital engagement practices that urged the SEC to amend existing rules instead of adopting new ones.
The SEC charged five unregistered broker-dealers and four unregistered investment companies with deceptive pre-initial public offerings.
A broadband connectivity company settled charges with the SEC for failing to maintain internal accounting controls intended to ensure that the company's stock buybacks were conducted in accordance with management authorizations.
The SEC granted ICE Clear Europe's request to withdraw from registration as a clearing agency.