Bruce Newman

SEC Approves FINRA Rules To Establish Securities Lending Reporting Facility

SEC Amends The Customer Protection Rule To Require Daily Reserve Formula Computations For Large Clearing/Carrying Broker-Dealers

US District Court Vacates Controversial Dealer Rules

The SEC Division Of Examinations' Fiscal Year 2025 Priorities: A Possible Window Into The Future For Broker-Dealers

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

SEC Sanctions CLO Manager For Inadequate Polices To Prevent Nonpublic Information Misuse

SEC Modernizes Data Protection Rules For Safeguarding Customer Information

SEC Adopts Rules Shortening The Standard Settlement Cycle To T+1

The SEC Proposes Regulation Best Execution

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