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Broker-Dealer › Regulation NMS

WilmerHale

SEC Holiday Reading List: Four Rule Proposals That Would Overhaul Market Structure and How Retail Orders Are Executed

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On December 14, 2022, the Securities and Exchange Commission (“SEC” or “Commission”) released four sweeping rulemaking proposals that would change market structure as we currently know it and introduce a new federal standard...more

Holland & Knight LLP

Winter Brings Latest Flurry of SEC Rulemaking

Holland & Knight LLP on

We here at SECond Opinions pride ourselves on staying current on all things SEC. But how about when in a single day, the SEC finalizes one rule and proposes four others (totaling 1,656 pages!) that could drastically change...more

Dorsey & Whitney LLP

Federal Enforcement Forum: EXAMS - Implementing Reg NMS Rule 606

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Rule 606: EXAMS – the Division of Examinations – published a Risk Alert on November 10, 2022, providing its Observations Related to Regulation NMS Rule 606 Disclosures. That Rule requires broker-dealers to provide enhanced...more

Dechert LLP

FINRA Proposes Order Routing Disclosure Requirements for OTC Equity Securities

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The Financial Industry Regulatory Authority (“FINRA”) on October 6, 2021, published a regulatory notice (“Notice”) requesting comment on a proposal requiring broker-dealers to publish quarterly order routing disclosure...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on Uncleared Swap Margin Rule, PACE Financing, Hart-Scott-Rodino and...

Katten Muchin Rosenman LLP on

BROKER-DEALER - SEC Chairman Clayton and Trading and Markets Director Redfearn Call for a Reassessment of Regulation NMS - On March 8, US Securities and Exchange Commission chairman Jay Clayton and director, Division...more

Dechert LLP

Market Participants to Their Corners: Competing Views on Market Data Are on Full Display at the SEC’s Market Data Roundtable

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The Securities and Exchange Commission has solicited the views of exchanges, broker-dealers and investors on a range of questions related to market data since at least 1999 when it published SEC Concept Release: Regulation of...more

Skadden, Arps, Slate, Meagher & Flom LLP

SEC’s Proposed Transaction Fee Pilot Program Continues to Provoke Discussion

Skadden, Arps, Slate, Meagher & Flom LLP on

On March 14, 2018, the Securities and Exchange Commission (SEC) proposed new Rule 610T of Regulation NMS, which would establish a pilot program to study the effects of potential changes considered by the SEC on certain...more

Dechert LLP

SEC’s Proposed Amendments to Broker-Dealers’ Order Routing Disclosures

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The U.S. Securities and Exchange Commission (SEC) has published proposed amendments to Rule 606 under Regulation NMS of the Securities Exchange Act of 1934 (Exchange Act), which would require broker-dealers to disclose...more

WilmerHale

SEC's Equity Market Structure Advisory Committee Considers Market Volatility and Customer Issues

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The Equity Market Structure Advisory Committee (EMSAC or Committee) held its third meeting at the Securities and Exchange Commission (Commission or SEC) in Washington DC on February 2, 2016. The Committee is considering...more

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