SEC Charges Adviser for Violating Short Selling Restrictions
SEC fines adviser for violating short selling rule, notes adviser’s self-reporting.
June 20, 2022
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Gensler Targets Payment for Order Flow, Other Equity Market Structure Reforms
SEC’s Gensler targets payment for order flow and outlines several other potential areas for equity market structure reform.
June 14, 2022
IAA Calls on SEC to Exclude Advisers, Private Funds, Other Advisory Clients from Dealer Proposal
The IAA urges the SEC to exclude SEC-registered investment advisers and their clients, including private funds, from its proposed definition of “dealer.”
June 07, 2022
The IAA and others urge the SEC to extend the comment period for a proposal that would expand the definition of dealer to capture certain advisers and private funds.
May 31, 2022
Shortened Settlement Cycle on the Horizon
The SEC has proposed shortening the standard settlement cycle for most securities transactions from two business days after the trade date (T+2) to one business day after the trade date (T+1) by March 31, 2024.
February 18, 2022
SEC Eyes Reporting of Securities Lending; IAA, Others Object to Comment Deadline
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.
November 24, 2021
SEC Report Describes GameStop Trading Market Volatility, Recommends Further Study
A new SEC report says January's market volatility in "meme" stocks tested market capacity and resilience "in a way few could have anticipated."
November 05, 2021
IAA, Others Urge SEC to Reconsider New Rule’s Impact on Fixed Income Markets
The IAA is expressing concerns about the potential application of a recently amended broker-dealer rule on the fixed income securities markets.
October 12, 2021