The U.S. Securities and Exchange Commission (SEC or the Commission) proposed amendments on December 14, 2022, to Regulation National Market System (NMS) that, if adopted, would significantly alter the way certain orders in...more
The U.S. Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a risk alert (the risk alert) on April 7, 2020, regarding examinations that will focus on broker-dealers’...more
The staffs of the Division of Trading and Markets (Division) of the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) (collectively, the “Regulators”) published a joint...more
7/18/2019
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