Article 13 Jun 2024 SEC Modernizes Data Protection Rules For Safeguarding Customer Information United States Privacy
Article 23 Jan 2024 FINRA's 2024 Annual Regulatory Oversight Report: What Broker-Dealers Need To Know United States Finance
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 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
Article 20 Aug 2021 Split SEC Settles Touting Charges With ICO "Listing" Website United States Technology
Article 21 Dec 2020 SEC Proposes Amendments To Reg ATS For Government Securities ATSs United States Government
Article 02 Nov 2020 SEC Proposes Exemptive Relief From Broker Registration For Finders For Small Companies United States Commercial
Article 24 Mar 2020 The SEC's Fixed Income Market Structure Advisory Committee Approves Two New Recommendations United States Commercial