Andre Owens

SEC Modernizes Data Protection Rules For Safeguarding Customer Information

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

SEC Proposes To Expand Reg SCI

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

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

SEC Proposes Significant New Regulatory Obligations For Communication Protocol Systems And Government Securities ATSs

Split SEC Settles Touting Charges With ICO "Listing" Website

SEC Proposes Amendments To Reg ATS For Government Securities ATSs

SEC Proposes Exemptive Relief From Broker Registration For Finders For Small Companies

The SEC's Fixed Income Market Structure Advisory Committee Approves Two New Recommendations