SEC Commissioners Allison Herren Lee and Caroline A. Crenshaw urged continued careful monitoring of the security-based swap regulatory regime.
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SEC Commissioner Elad L. Roisman described potential SEC rulemakings on cybersecurity, and offered additional measures to prevent cyberattacks that issuers might consider, even in the absence of regulatory action.
The Institutional Limited Partners Association urged the SEC to require private fund advisers to report, on a quarterly basis, direct and indirect fees, carried interest, expenses and fee offsets.
The SEC disapproved proposed amendments to the National Market System Plan Governing the Consolidated Audit Trail ("CAT"). The amendments would have provided for limited liability to industry members reporting to the CAT, and limited the liability of the Operating Committee and its participants in the case of a systems breach or misuse.
A broker-dealer settled Nasdaq Stock Market LLC charges that its "market access" controls were deficient.