SEC Chair Paul S. Atkins restored the Commission’s prior practice of "permitting a settling entity to request that the Commission simultaneously consider an offer of settlement that addresses both an underlying Commission enforcement action and any related waiver request."

Two related firms settled FINRA charges for trade reporting and supervisory failures across equity, options, and fractional share transactions.

The SEC requested comment on concept proposals for expanding issuer and investor access to the registered asset-backed securities markets.

The Managed Funds Association outlined a set of principles to guide policymakers on expanding access to alternative assets in 401(k) and other defined contribution retirement plans.

In an analysis on the accounting treatment for U.S. Treasury repo transactions cleared through the Fixed Income Clearing Corporation’s Agent Clearing Service ("ACS"), SIFMA determined that ACMs act as agents - not principals. As a result, SIFMA concluded that these repos should remain off the ACMs’ balance sheets.