Trading and Markets
Domestic
ICI: SEC’s Safeguarding Proposal Would Upend Decades of Established Practice
ICI President and CEO Eric Pan released the following statement regarding the Securities and...
ICI Comment Letter to SEC on Re-Proposal Regarding ABS Conflicts of Interest (pdf)
December 28, 2022
Memo #34737
FINRA Adopts and Proposes Amendments to TRACE Reporting
Over the last month, FINRA has proposed or adopted three separate reporting requirement changes to the Trade Reporting and Compliance Engine (TRACE). On December 13, 2022, FINRA adopted amendments to require the reporting of transactions in US dollar...
International
T+1: The Next Step for Evolving Markets Globally
October 9, 2023—As financial services firms around the world institute processes and procedures to...
Foreign Direct Investment: Striking the Right Balance
In a world that is more interconnected than ever, it is important to fend off foreign threats to...