Article 25 Sep 2024 SEC Adopts New Regulation NMS Rules On Tick Sizes, Access Fees, And Market Data United States Finance
Article 06 Sep 2024 SEC Sanctions CLO Manager For Inadequate Polices To Prevent Nonpublic Information Misuse United States Commercial
Article 13 Jun 2024 SEC Modernizes Data Protection Rules For Safeguarding Customer Information United States Privacy
Article 27 Apr 2023 SEC Adopts Rules Shortening The Standard Settlement Cycle To T+1 United States Commercial
Article 21 Dec 2022 SEC Holiday Reading List: Four Rule Proposals That Would Overhaul Market Structure And How Retail Orders Are Executed United States Commercial
Article 01 Dec 2022 SEC Adopts Amendments To Electronic Recordkeeping Requirements For Broker-Dealers And Security-Based Swap Dealers United States Commercial
Article 10 Aug 2022 SEC Brings First Identity Theft Enforcement Actions Since 2018 United States Commercial
Article 07 Apr 2022 SEC Proposes New Rules Defining "Dealer" Status: Proposal Seeks To Clarify When Unregistered Firms Engaged In Market-Making And Liquidity-Providing Activities May Need To Register As Dealers United States Commercial
Article 11 Feb 2022 SEC Proposes Significant New Regulatory Obligations For Communication Protocol Systems And Government Securities ATSs United States Commercial