The SEC's Rule 10c-1a now mandates the reporting of securities loans, marking a significant regulatory shift.
Potential challenges in implementing SLATE, including the need for possible adjustments to data dissemination...more
As a follow-up to our prior discussion in this area, this article addresses a recent exemption issued to the New York Stock Exchange ("NYSE") by the Securities and Exchange Commission ("SEC") that allows for increased trading...more
3/10/2025
/ Bonds ,
Broker-Dealer ,
Capital Markets ,
Compliance ,
Debt Securities ,
Disclosure Requirements ,
NYSE ,
Regulatory Requirements ,
Securities ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Exchange Act of 1934 ,
Securities Regulation
The Securities and Exchange Commission ("SEC" or the "Commission") issued four sweeping proposals on December 14, 2022, covering a broad range of market structure and regulatory issues facing the equities markets. The four...more