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          • June 23, 2022

            Treasury Requests Comment on Trade Reporting in Government Securities

            Treasury issued a Request for Information as to whether it should require additional post-trade transparency of data regarding secondary market transactions of Treasury securities.
            Steven.Lofchie@friedfrank.com's picture
            Commentary by Steven Lofchie
          • June 23, 2022

            FINRA Proposes Trade Reporting for OTC Options

            FINRA solicited comment on a proposal to require daily trade reporting for OTC options transactions.
            nihal.patel@friedfrank.com's picture
            Commentary by Nihal Patel
          • June 23, 2022

            SIFMA Urges Reevaluation of Latest CAT Executed Share Funding Model

            SIFMA urged the SEC to reevaluate the proposed fee split set out in the CAT Executed Share Funding Model.
          • June 23, 2022

            Brokerage Firm Settles FINRA Charges for Attempting to Artificially Influence Market Prices

            A broker-dealer settled FINRA charges for attempting to influence the market for securities offered by the firm’s corporate affiliates and investment banking clients.
          • June 23, 2022

            Broker-Dealer Settles FINRA Charges for Private Placement Offering Violations

            A broker-dealer settled FINRA charges for failing to conduct reasonable due diligence in connection with a private-placement offering and for failing to maintain the minimum net capital required to operate as a securities business.
          • June 22, 2022

            Commissioner Peirce Reacts to SEC Spring Rule List

            SEC Commissioner Hester M. Peirce criticized Chair Gary Gensler's spring 2022 Agency Rule List agenda, asserting that both its goals and the method for achieving them are flawed.
            Steven.Lofchie@friedfrank.com's picture
            Commentary by Steven Lofchie
          • June 21, 2022

            Trade Associations Comment on Proposal to Mandate Climate Disclosures

            In comments on an SEC proposal to standardize the inclusion and consistency of climate-related disclosures in registration statements and periodic reports, financial trade and industry associations urged the agency to balance the value of the additional information disclosed against the cost to produce it.
            Steven.Lofchie@friedfrank.com's picture
            Commentary by Steven Lofchie
          • June 21, 2022

            Credit Rating Agency Settles SEC Charges for Conflict of Interest Violations

            A credit rating agency and its CEO settled SEC charges for issuing a credit rating for a client in which the rating agency's CEO participated in the rating determination and assisted in marketing activities with respect to that client.
          • June 21, 2022

            Broker-Dealer Settles Charges with Multiple Exchanges for "Order Protection Rule" Violations

            A broker-dealer settled parallel charges brought by NYSE LLC, NYSC Arca Inc., NYSE American LLC, and NYSE Chicago, Inc., for failing to recognize technical errors with a vendor’s smart order router which resulted in the broker-dealer failing to route intermarket sweep orders as necessary to execute against protected quotes.
          • June 17, 2022

            SEC Chair Gensler Reacts to Proposed Regulatory Scheme on Digital Assets

            Responding to recent legislative efforts which would empower the CFTC with primary regulatory oversight over crypto-assets, SEC Chairman Gary Gensler argued that crypto-assets being offered to the public have characteristics of an investment contract and are subject to securities regulation and enforcement.
            Steven.Lofchie@friedfrank.com's picture
            Commentary by Steven Lofchie
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