Commentary by Steven Lofchie
A broker-dealer and its affiliated investment advisers settled SEC charges for providing securities services to mutual funds in violation of the ineligibility provisions of the Investment Company Act.
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Commentary by Steven Lofchie
The SEC adopted the 2024 annual budget of the Public Company Accounting Oversight Board along with the related annual accounting support fee.
The SEC adopted a rule that any SEC-registered central clearing agency that provides central clearing of U.S. Treasury securities ("USTs") shall require its members to centrally clear (i) most repurchase and reverse repurchase transactions in USTs to which it is a counterparty and (ii) certain cash market purchases and sales of USTs.
NFA questioned the rationale and benefits of proposed changes in a CFTC proposal to increase the disclosure requirements for commodity pools and managed account programs operated by registered commodity pool operators and commodity trading advisors.
The MSRB amended the annual rate card fees for broker-dealers and municipal advisors in 2024.