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Federal Pilot Programs Broker-Dealer

Sheppard Mullin Richter & Hampton LLP

Where is the Love? Exchanges Sue SEC Over Market Access Fee Pilot Program

Three prominent trading exchanges did not exactly show their government overseer the love this Valentine’s week. On February 14, 2019, the New York Stock Exchange (“NYSE”) filed a petition for review to the U.S. Court of...more

Skadden, Arps, Slate, Meagher & Flom LLP

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

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

WilmerHale

SEC Approves NMS Plan to Implement Tick Size Pilot for Small Cap Stocks

WilmerHale on

In June 2014, the Securities and Exchange Commission (“SEC” or “Commission”) issued an order directing the national securities exchanges and the Financial Industry Regulatory Authority (collectively, the “Participants”) to...more

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