The SEC, the MSRB and FINRA announced that open registration for the Compliance Outreach Program for Municipal Advisors will be held on November 10, 2016. Registration will be streamed via a live webcast available on the MSRB website.
At a conference held in New York, senior regulators discussed developments in data reporting, clearing and settlement, and the ongoing evolution of Treasury Market structure and liquidity.
The SEC charged three cryptocurrency entities and their founder with engaging in the unregistered offering of a crypto-asset.
SEC Director of Investment Management William Birdthistle cautioned broker-dealers that receive cash payments for research from European asset managers that they may be required to register as investment advisers when the SEC's MiFID II no-action letter expires in July 2023.
An initial coin offering issuer and its CEO settled SEC charges for conducting an unregistered offering and sale of digital asset securities, and for making materially false and misleading statements.