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