The SEC has finalized its rules to shorten the standard settlement cycle for most securities transactions and proposed amendments to the custody rule and related recordkeeping and Form ADV changes.
SEC Chair Gary Gensler has shepherded through another 30-day proposal, one intended to increase transparency in securities lending. The IAA and other financial services trade associations are asking for a more conventional 90-day comment period.
The SEC’s examination staff has shared observations to assist investment advisers and broker-dealers in complying with the Large Trader Rule (Rule 13h-1 under the Exchange Act).
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