The Alternative Investment Management Association, the Managed Funds Association and the National Association of Private Fund Managers filed a Complaint against the SEC to vacate the agency's recently adopted rule to change the definitions of "dealer" and "government securities dealer.”
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The Federal Reserve Bank and the Office of the Comptroller of the Currency fined a bank for failing to monitor firm and client trading activities.
FINRA adopted amendments to disseminate individual transactions in active U.S. Treasury securities at the end of the day.
An SEC final rule expanding the definition of "broker-dealer" under the Securities Exchange Act was published in the Federal Register.
The SEC adopted two new rules requiring certain market participants that "play an increasingly significant liquidity providing role," to register with the SEC as broker-dealers or as government securities broker-dealers under the Securities Exchange Act.