The SEC set an effective date of December 11, 2023 for rule amendments that prevent investment companies from adopting names that may mislead investors. The date was published in the Federal Register.
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Swap dealers at three different financial institutions settled separate CFTC enforcement actions for trade reporting and other compliance violations.
A broker-dealer settled SEC charges for reporting incomplete and inaccurate securities trading information on required electronic blue sheet submissions.
The SEC adopted rule amendments to prevent investment companies from adopting names that may mislead investors.
A firm settled charges with FINRA for inaccurately reporting 600,000 transactions to the Trade Reporting and Compliance Engine due to its failure to include a "No Remuneration" indicator.