BROKER-DEALER -
SEC Proposes Transaction Fee Pilot Program
On March 14, the Securities and Exchange Commission proposed new Rule 610T of Regulation National Market System (Reg NMS), which would create a Transaction Fee...more
SEC/CORPORATE -
SEC Seeks Public Comment on Disclosure Requirements of Subpart 400 of Regulation S-K -
On August 25, the Securities and Exchange Commission announced that it is seeking public comment on the
issues...more
On January 16, the European Securities and Markets Authority (ESMA) and the Securities and Futures Commission (SFC) of Hong Kong agreed on a Memorandum of Understanding (MoU) regarding regulatory cooperation and arrangements...more