The Securities and Exchange Commission’s Division of Examinations (EXAMS) published its report on 2023 Examination Priorities on February 7, 2023. The 2023 Examination Priorities continue to reflect an examination program...more
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
12/21/2018
/ Broker-Dealer ,
Capital Markets ,
Data Management ,
Electronic Trading ,
Equity Markets ,
Fees ,
Investors ,
Market Access Rule ,
Market Data ,
Market Participants ,
Regulation NMS ,
Request For Information ,
Roundtable ,
Securities ,
Securities and Exchange Commission (SEC) ,
Stock Exchange ,
Transparency
Although the U.S. Securities and Exchange Commission (SEC) staff is currently drafting proposed rules relating to the standard of conduct for broker-dealers and investment advisers, several states have decided not to wait for...more
4/4/2018
/ Best Interest Contract Exemptions ,
Broker-Dealer ,
Department of Labor (DOL) ,
Employee Retirement Income Security Act (ERISA) ,
Fiduciary Duty ,
Fiduciary Rule ,
Financial Planning ,
Investment Adviser ,
Popular ,
Retirement Funds ,
Securities and Exchange Commission (SEC) ,
State and Local Government