SEC extends compliance date on Rule 606

SEC has decided to extend the date by which broker-dealers will be required to collect information required by Rules 606(a) and 606(b) from May 20th to October 1st.

SEC announces agenda for FinTech Forum

In Nov. 2018, the SEC announced the formation of its Strategic Hub for Innovation and Financial Technology, SEC FinHub. Among the goals or purposes of the FinHub is to enable the SEC to actively engage with innovators, developers and entrepreneurs. SEC Staff and FinHub is hosting a 2019 FinTech Forum on Fri., May 31, beginning at 9:30 a.m. ET. The forum will feature four panels, click More for agenda and speaker list.

FINRA request for comments on corporate bonds

FINRA has issued Regulatory Notice 19-12 to request comment on a proposed pilot program to study changes to corporate bond block trade dissemination based on recommendations of the SEC Fixed Income Market Structure Advisory Committee (FIMSAC). Comments due Tues., June 11.

SEC Commissioner Peirce on Crypto & Grill

SEC Commissioner Hester Peirce discusses the role and responsibilities of the SEC, and how that impacts the crypto landscape with Crypto & Grill.

Read STA’s April Newsletter here