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Thursday, October 22, 2026The Morning Brief →Sign in
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Paul S. Atkins

SEC · Reported Oct 9
In network coverage since September 3, 2026 · 16+ stories
Network coverage
liquidity

SEC cross-trading proposal restores Level 2 fixed income, excludes Level 3 assets

Registered closed-end funds, including interval funds, held 38% of gross investments in the excluded Level 3 or non-leveled categories as of September 2025.
portfolio · Oct 9SEC proposes expanding cross trading by registered funds
regulation · Oct 9SEC proposes expanding cross trading by registered funds to most fixed-income securities
practice · Oct 6SEC exam division replaces its brochure with a stage-by-stage handbook
portfolio · Oct 6SEC proposes crypto custody framework for advisers and regulated funds
practice · Oct 6SEC proposes rescinding pay-to-play rule for advisers with government clients
practice · Oct 6SEC and five other regulators warn on impersonation and relationship investment scams
Filings · Oct 1SEC private-market proposals draw compliance warnings from ACA Group and STP consultants
regulation · Oct 1SEC Division of Examinations publishes exam process handbook for registrants
vehicles · Sep 30SEC proposes performance fees and looser repurchase rules for interval funds
The Close · Sep 30SEC asks whether a CFP or CPA should count as an accredited investor
portfolio · Sep 30SEC proposes performance fees in regulated funds, asks about FINRA accreditation exam
RIA · Sep 30Bruce Markets plans weekend U.S. equity trading, pending regulatory approval
vehicles · Sep 16The SEC's proxy rollback reaches interval funds by inheritance
RIA · Sep 4Pay-to-play repeal trades one rule for patchwork
practice · Sep 3The SEC would scrap the pay-to-play rule. The two-year ban is still law.
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