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.
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.
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.
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.
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.
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.
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.
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.
