The SEC set an effective date of August 21, 2023, for amendments that will remove references to credit ratings from existing exceptions to rules on market manipulation. The effective date was published in the Federal Register.
The SEC finalized amendments to rules on securities market manipulation that will remove references to reliance on credit rating agencies.
The SEC set a new comment deadline of June 13, 2023 for a proposal that would amend the statutory definition of "exchange" to include trading systems that facilitate the trading of crypto asset securities.
The SEC reopened the comment period for a proposal that would amend the statutory definition of "exchange" to include trading systems that facilitate the trading of crypto asset securities.
A broker-dealer settled FINRA charges for accepting market orders for newly issued shares prior to the commencement of trading those shares on the secondary market.