Editor's Note - Never Satisfied. Despite the Securities and Exchange Commission’s announcement that, in its just completed fiscal year 2016, it filed a record 868 enforcement actions reprimanding misconduct by companies...more
Proposed rule to shorten settlement period from T+3 to T+2 - On September 28, 2016, the U.S. Securities and Exchange Commission (SEC) proposed an amendment to shorten the standard settlement cycle for broker-dealer...more