Securities and Exchange Commission Content

[35552] December 19, 2023 TO: Liquidity Rule Implementation Working Group SEC Rules Committee Small Funds Committee RE: ICI Draft Comment Letter on SEC Liquidity Proposal's Impact on Funds Investing in Bank Loans; Comments Due by December 21 at 12:00 pm ET Linked below is a draft ICI...

Last month, FINRA filed with the SEC proposed amendments to Rule 2210 (Communications with the Public) (the "rule"). If adopted, the amendments would permit a FINRA member to project the performance or provide a targeted return with respect to a security or asset allocation or other...

On November 3, FINRA filed a proposed rule change with the SEC to amend its rules to allow it to disseminate transaction-level data in US Treasury securities that are On-the-Run Nominal Coupons on an end-of-the-day basis. Comments on the proposal are due on Thursday, November 30, 2023...

On October 13, the Securities and Exchange Commission (SEC) adopted a final rule to require institutional investment managers under new Rule 13f-2 to report certain short position and related activity data for equity securities through a new Form SHO. ICI previously submitted a...

On October 18, 2023, the Securities and Exchange Commission (SEC or "Commission") issued a proposal ("Proposal") to prohibit exchanges from offering volume-based transaction pricing in connection with agency-related orders in certain stocks. The SEC describes this practice as an...