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As background, the SEC adopted amendments to Rule 15b9-1 of the Securities Exchange Act of 1934 (SEA Rule 15b9-1) that require a broker-dealer to become a FINRA member if the broker-dealer effects transactions ...
On January 11, 2024, the Financial Industry Regulatory Authority, Inc. (“FINRA”) filed with the Securities and Exchange Commission (“SEC”) a proposed rule change (the “Proposal”) to...
It is important to prioritize clarity in data in age of artificial intelligence when sources are harder to trace, says John Williams.
TRACE brings transparency to the fixed income market by sharing timely and reliable data with the public.
On October 13, 2023, the SEC issued a release (the "Release") adopting new Rule 10c-1(a) (the "Rule") under the Exchange Act "to increase the transparency and efficiency of the securities lending market" by requiring certain persons to report information about securities loans to a registered national securities association.