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MSRB extends Rule G-27 relief again

The Municipal Securities Rulemaking Board has filed to extend G-27 relief to give dealers an extra six-month window for remote inspections ....

Mark Kim , John Bagley , Exchange Commission , Financial Industry Regulatory Authority , Municipal Securities Rulemaking Board , Real Time Transaction Reporting System , Washington Dc , Msrb Rules , Covid 19 ,

SEC: Staff Statement On Investment Company Cross Trading, Division Of Investment Management Staff


SEC: Staff Statement On Investment Company Cross Trading, Division Of Investment Management Staff
Date
11/03/2021
This Staff Statement is presented by the Staff of the Division of Investment Management (the “Staff”). In this statement, the Staff addresses certain aspects of investment company cross trading. The Staff is interested in feedback on ways to enhance the regulatory regime governing investment company cross trading.
This Staff Statement is not a rule, regulation, or statement of the Securities and Exchange Commission (the “Commission”). Furthermore, the Commission has neither approved nor disapproved its contents. This Staff Statement has no legal force or effect: it does not alter or amend applicable law, and it creates no new or additional obligations for any person. ....

Financial Industry Regulatory Authority Trade , Exchange Commission The , Investment Company , Staff Statement , Investment Management , Exchange Commission , Investment Company Act , Evaluation Rule , Cross Trade , Standard Codification Topic , Financial Industry Regulatory Authority , Trade Reporting , Compliance Engine , Municipal Security Rulemaking Board , Real Time Transaction Reporting System , நிதி தொழில் ஒழுங்குமுறை அதிகாரம் வர்த்தகம் , பரிமாற்றம் தரகு தி , முதலீடு நிறுவனம் , ஊழியர்கள் அறிக்கை , முதலீடு மேலாண்மை , பரிமாற்றம் தரகு , முதலீடு நிறுவனம் நாடகம் , மதிப்பீடு ஆட்சி , குறுக்கு வர்த்தகம் , நிதி தொழில் ஒழுங்குமுறை அதிகாரம் , வர்த்தகம் புகாரளித்தல் ,