The Securities and Exchange Commission (SEC) proposes to amend Regulation Systems Compliance and Integrity (Reg SCI) to update and expand the regulatory oversight of the core technology of the U.S. securities markets.1 The...more
5/9/2023
/ Alternative Trading System (ATS) ,
Broker-Dealer ,
Clearing Agencies ,
Comment Period ,
Cryptoassets ,
Cybersecurity ,
Data Repositories ,
Proposed Amendments ,
Regulation SCI ,
Securities ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
Swap Data Repositories ,
Third-Party Service Provider ,
Vendors
The Securities and Exchange Commission (SEC) proposed significant changes to the regulation of securities trading systems that use non-firm trading interest and alternative trading systems (ATSs) that trade government...more
On October 7, 2020, the Securities and Exchange Commission (SEC) proposed to address long-standing questions regarding the applicability of the broker registration requirements to finders for small and emerging businesses....more