Compliance March 7th, 2024 Broker/Dealers Will Be Required by SEC Rule to Disclose More Information on Execution Quality Rule amendments finalized this week will require broker/dealers to share more information on the quality of stock order executions and...
Compliance June 26th, 2023 House Appropriations Bill Would Block Safeguarding and Swing Pricing Proposals, Among Others The legislation also targets the climate disclosure and market structure proposals.
Compliance May 11th, 2023 House Republicans Eye SEC Regulatory, Enforcement Budget A letter from the House Financial Services Committee calls for a freeze on the SEC’s enforcement budget and the defunding...
Compliance April 21st, 2023 Execution Quality Disclosure, Tick-Size SEC Proposals Enjoy Industry Support Mandatory auctions and Reg BE are considerably less popular.
Compliance April 14th, 2023 Commenters Urge SEC to Implement Market Proposals Sequentially The growing chorus of caution now includes the Department of Justice.
Compliance April 12th, 2023 Gensler to Testify at House Oversight Hearing Next Week Items such as the SEC’s market structure and cybersecurity proposals are likely targets for questioning, as is the SEC’s climate...
Compliance December 15th, 2022 SEC Votes to Advance Trading Proposals The four proposals aim to improve competition and transparency in securities trading.
Compliance July 15th, 2019 Investment Managers Share Steps They Take for Compliance A survey finds cybersecurity is registered investment advisers' (RIAs) highest concern.