The Investment Company Institute and the Managed Funds Association responded to an SEC concept release on Securities Act registration exemptions that facilitate capital raising.
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In its September disciplinary report, FINRA recapped actions against member firms and individuals for violations of FINRA rules, MSRB rules, and federal securities laws and rules.
SIFMA opposed a bill that would effectively overturn the Supreme Court's Decision in Kokesh v. SEC, which held that SEC claims for disgorgement were punitive and, therefore, subject to a federal statute of limitations.
A House Financial Services Subcommittee considered bills to increase the budget, staffing and regulatory authority of the Financial Stability Oversight Council.
At a CFTC Global Markets Advisory Committee meeting, Commissioners considered (i) implementation of margin requirements for uncleared swaps and (ii) the treatment of central counterparties under EU proposed rules.