An investment adviser settled SEC charges for violating an SEC trading rule by purchasing interests in a security via a public offering during the restricted period after short selling the same security.
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A broker-dealer settled FINRA charges for overstating its net capital, which caused several additional reporting and recordkeeping violations.
Comments on a Treasury Department Office of Financial Research proposal to require certain institutions to submit daily reports on outstanding non-centrally cleared bilateral repurchase agreement transactions are due by March 10, 2023.
FIA urged the SEC to exclude futures commission merchants from its proposed requirement to centrally clear transactions in Treasury securities.
The U.S. Treasury Department Office of Financial Research proposed requiring certain broker-dealers, government securities broker-dealers (including banks), other financial companies and investment advisers to submit daily trade and collateral information on their outstanding non-centrally cleared bilateral repurchase agreement transactions.