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Searching Content indexed under Corporate and Company Law by Bruce Newman ordered by Published Date Descending.
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SEC's Equity Market Structure Advisory Committee Considers An Access Fee Pilot And Changes To The Regulation Of Trading Venues
On April 26, 2016, the Equity Market Structure Advisory Committee (EMSAC or Committee) held its fourth meeting at the Securities and Exchange Commission (Commission or SEC) in Washington DC.
United States
12 May 2016
2
SEC Approves NMS Plan To Implement Tick Size Pilot For Small Cap Stocks
In June 2014, the Securities and Exchange Commission ("SEC" or "Commission") issued an order directing the national securities exchanges and the Financial Industry Regulatory Authority (collectively, the "Participants") to act jointly in developing and filing with the Commission a national market system plan to implement a tick size pilot program ("Order").
United States
13 Jul 2015
3
SEC Equity Market Structure Advisory Committee: Assessing Complexity In The U.S. Equity Markets
On May 13, 2015, the Equity Market Structure Advisory Committee (the "EMSAC" or "Committee") held its inaugural meeting (the "Inaugural Meeting") at the Securities and Exchange Commission (the "Commission" or "SEC") in Washington, D.C.
United States
22 May 2015
4
SEC Proposes Rules To Oversee Non-US Firms’ Swap Activity In The United States
On April 29, 2015, the US Securities and Exchange Commission (SEC) proposed new rules to enhance its oversight of non-US firms' security-based swap activity in the United States.
United States
1 May 2015
5
SEC Staff Issues FAQs On The Liability Of Compliance And Legal Personnel At Broker-Dealers
On September 30, 2013, the staff of the Securities and Exchange Commission's Division of Trading and Markets issued a new set of frequently asked questions regarding the liability of compliance and legal personnel at broker-dealers under Sections 15(b)(4) and 15(b)(6) of the Securities Exchange Act of 1934.
United States
9 Oct 2013
6
SEC Staff Issues FAQs on Rule 15a-6 And Cross-Border Securities Activities By Foreign Broker-Dealers; FAQs Address A Wide Range of Areas, But No Surprises
On March 21, 2013, the Staff of the SEC’s Division of Trading and Markets issued a new set of frequently asked questions regarding Rule 15a-6 under the Securities Exchange Act of 1934.
United States
5 Apr 2013
7
SEC Approves New FINRA Rule 5270: A Significant Expansion Of FINRA's Prohibitions On Front Running Block Transactions
On September 4, 2012, the Securities and Exchange Commission ("SEC" or "Commission") approved the Financial Industry Regulatory Authority’s ("FINRA") Rule 5270.
United States
18 Sep 2012
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