Commentary by Steven Lofchie
SEC Commissioner Hester M. Peirce raised concerns about the SEC's recent treatment of a SPAC registration statement.
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21975 News Results
Commentary by Steven Lofchie
Numerous buy-side trade associations requested additional time to comment on the SEC's proposed regulation of private fund advisers.
Sell-side and buy-side trade associations offered additional recommendations in comments supporting the SEC's proposal to accelerate the settlement cycle from two days after the trade date (T+2) to one day after the trade date (T+1).
A broker-dealer settled charges that the firm "failed to reasonably supervise a registered representative who engaged in an undisclosed business activity."
FIA requested that the CFTC codify no-action relief regarding the treatment of separately managed accounts held at futures commission merchants.