Article 29 Jan 2025 SEC Approves FINRA Rules To Establish Securities Lending Reporting Facility United States Commercial
Article 09 Jan 2025 SEC Amends The Customer Protection Rule To Require Daily Reserve Formula Computations For Large Clearing/Carrying Broker-Dealers United States Commercial
Article 01 Nov 2024 The SEC Division Of Examinations' Fiscal Year 2025 Priorities: A Possible Window Into The Future For Broker-Dealers United States Technology
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
Article 21 Dec 2020 SEC Proposes Amendments To Reg ATS For Government Securities ATSs United States Government
Article 13 Nov 2020 SEC Amends Rule 15c2-11 To Enhance Publicly Available Information For Securities Quoted In The Over The Counter Markets United States Commercial
Article 08 Sep 2020 Preparing For Security-based Swap Dealer Registration: Comparing SEC & CFTC Regulatory Requirements United States Finance