Stephanie Nicolas

SEC Adopts New Regulation NMS Rules On Tick Sizes, Access Fees, And Market Data

SEC Modernizes Data Protection Rules For Safeguarding Customer Information

FINRA's 2024 Annual Regulatory Oversight Report: What Broker-Dealers Need To Know

Broker-Dealers And Advisers Beware: The SEC's "PDA" Proposal Could Upend Firms' Interactions With Customers, Clients And Investors

The SEC Proposes Regulation Best Execution

SEC Holiday Reading List: Four Rule Proposals That Would Overhaul Market Structure And How Retail Orders Are Executed

SEC Brings First Identity Theft Enforcement Actions Since 2018

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

Navigating The "Good Faith Effort" Standard For Reg BI And Form CRS Implementation

COVID-19: Key Issues For Broker-Dealers