The SEC approved the MSRB rule amendments to establish core standards of conduct and duties for "solicitor municipal advisors."
News & Insights
In a new Risk Alert, the SEC Division of Examinations highlighted compliance deficiencies of newly registered investment advisers.
The SEC filed a complaint against a crypto asset entrepreneur and his wholly-owned companies for (i) unregistered trading of crypto asset securities, (ii) manipulative trading practices and (iii) creating a publicity campaign for his crypto securities without disclosing that the celebrities involved were being compensated.
Sia Partners, a global management consultancy, conducted an independent study identifying key market concerns over an SEC proposal that would require U.S. Treasury security transactions and repos to be centrally cleared.
SEC Commissioner Mark T. Uyeda criticized the SEC’s current regulatory approach, stating that recent rulemakings have been focused on “unrealistic expectations of how the world functions and how it ought to be.”