News & Analysis as of

Securities Exchange Act › Net Capital Rule

The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange... more +
The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange Commission (SEC), which is the primary regulatory agency enforcing federal securities laws. less -
Eversheds Sutherland (US) LLP

Regulators have bank deposit sweep programs in their sights

Eversheds Sutherland (US) LLP on

Coming on the heels of the share class initiative, the US Securities and Exchange Commission (SEC) is at the initial stages of another initiative involving concerns about adviser disclosures and conflicts related to bank...more

Morgan Lewis

Temporary Exemption from Certain SEC Financial Responsibility Rules Amendments

Morgan Lewis on

The limited exemption will provide broker-dealers with more time to make necessary operational or systems changes. On October 17, the Securities and Exchange Commission (SEC) issued an order providing a temporary...more

2 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide