SIFMA submitted a comment letter criticizing proposed amendments to the National Market System Plan Governing the Consolidated Audit Trail, which among other things, provides for liability to industry members reporting to the CAT relating to system breaches or misuse.
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President Joe Biden instructed the Director of the Office of Management and Budget to improve and modernize the regulatory review process and to produce recommendations for "ensur[ing] swift and effective Federal action."
The European Commission determined that the SEC's regulatory framework for central counterparties is equivalent to that of the European Union.
Manisha Kimmel, SEC Senior Policy Advisor to the Chair on the Consolidated Audit Trail Chair, will step down at the end of January 2021.
OFAC extended authorizations on transactions that involve the securities of an entity whose name "closely matches, but does not exactly match" that of a Communist Chinese military company.