A firm operating as a "market center" settled FINRA charges for under-reporting "covered orders" in contravention of SEC disclosure requirements on order execution.
News & Insights
New rules and rule proposals have been announced from the SEC. Click on the links to view the SEC's notices of each rule change and proposal. BATS: Order Granting Approval of Proposed Rule Change to List and Trade Shares of the iShares Sovereign Screened Global Bond Fund FINRA: Proposed Rule - Change to Establish Optional TRACE Data Delivery Services and Related Fees (See also: Exhibit 5 ) FINRA: Notice of Filing of Amendment Nos. 1 and 2, and Order Granting Accelerated Approval of a Proposed Rule Change Relating to FINRA Rule 8210 ISE: Effective Immediately - Rule Change Regarding Payment for
The SEC censured an investment advisory firm for failing to adequately disclose transaction costs to investors participating in a "wrap fee" program.
The Federal Reserve Board, FDIC, OCC, SEC and CFTC adopted amendments to the Volcker Rule "covered funds" provisions.
The Federal Reserve Board, FDIC, OCC, SEC and CFTC stated that they will consider comments submitted past the deadline on a proposal to amend the Volcker Rule's "covered funds" provisions.