BROKER-DEALER -
SEC Chair Gives Speech on Equity Market Structure -
On September 14, Securities and Exchange Commission Chair Mary Jo White gave a speech titled “Equity Market Structure in 2016 and for the Future”...more
BROKER-DEALER -
FINRA Issues Notice Regarding SEC’s Approval of New NMS Stock Recording and Reporting Requirements Rule -
On August 8, the Financial Industry Regulatory Authority issued Regulatory Notice 16-28,...more
8/15/2016
/ Alternative Trading System (ATS) ,
Chief Compliance Officers ,
EU ,
Futures Commission Merchants (FCMs) ,
Interpretive Letters ,
Margin Requirements ,
Meals-Gifts-and Entertainment Rules ,
No-Action Relief ,
Regulation NMS ,
Regulation Technical Standards (RTS) ,
Swap Dealers ,
TRACE
SEC/CORPORATE -
SEC Approves Amendments to Implement Provisions of the JOBS Act and FAST Act -
On May 3, the Securities and Exchange Commission approved amendments to revise certain rules under the Securities...more