A broker-dealer settled FINRA charges for failing to adequately supervise short positions in municipal securities, resulting in a failure to cover short positions within the required timeframe of 30 days.
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In a comment letter on the potential expansion of short interest reporting requirements, the MFA detailed its support, conditional support and opposition to various proposed enhancements.
The SEC requested comment on certain technical changes as to how EDGAR system filers make submissions and manage their submission permissions. The changes are intended to increase security.
In response to an SEC request for comment on broker-dealer and investment adviser digital engagement practices, SIFMA asserted that existing regulations are sufficient to address potential misconduct.
In a letter addressed to Senate Committee on Finance Chair Ron Wyden and ranking member Michael Crapo, the Security Traders Association highlighted the negative impact proposed legislation on derivatives would have on investors.