The SEC clarified that any registrant may voluntarily satisfy the recently adopted mining disclosure requirements if it complies with (i) Mining Operations disclosure rules and (ii) EDGAR requirements.
The Office of the Comptroller of the Currency notified national banks, federal savings associations and federal branches and agencies of "revised interagency examination procedures for determining compliance the Home Mortgage Disclosure Act."
A broker-dealer agreed to settle FINRA charges for neglecting to report transactions in TRACE-eligible securities and failing to mark order tickets for securities transactions as "solicited" or "unsolicited."
SIFMA and the Security Traders Association raised concerns about legislative proposals on capital formation and corporate governance currently under consideration by the U.S. Senate Committee on Banking, Housing and Urban Affairs.
The MSRB provided additional support to help market participants comply with rules that require municipal securities issuers and obligated persons to disclose material financial obligations to investors.