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.
The FDIC Board of Directors proposed to increase initial base deposit insurance assessment rates uniformly by two basis points for all insured depository institutions.
CFTC Commissioner Summer K. Mersinger weighed in on offering retail access to clearing outside of traditional futures commission merchant models and raised concerns over "mission creep... in the name of addressing climate change."
CFTC Commissioner Caroline D. Pham announced that she is relaunching the Global Markets Advisory Committee to focus on "firms’ global business strategy and operations and the markets that are needed to support growth and effective risk management."
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.
