Broker ITG Inc. agreed to pay $24.4 million to settle SEC charges alleging that it had prompted the issuance of American Depository Receipts without first obtaining the underlying foreign shares.
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An Office of Financial Research working paper examined how risk-taking in the repurchase agreement market changed following the introduction of the Basel III supplementary leverage ratio regulation.
The Office of Financial Research examined securities-lending activity based on pilot data collected by the OFR, the Federal Reserve System and the SEC.
FINRA announced the effective dates of recently approved rules establishing margin requirements for "to-be-announced" transactions and other forward-settling agency securities transactions.
The Investment Company Institute urged the Financial Stability Oversight Council to reconsider its conclusion that liquidity and redemptions in mutual funds carry significant financial stability risk.