The SEC set a comment deadline of January 5, 2024 for a proposed rule that would prohibit national securities exchanges from offering volume-based transaction pricing. The comment deadline was published in the Federal Register.
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The SEC proposed a rule that would prohibit national securities exchanges from offering volume-based transaction pricing to broker-dealers executing agency or riskless principal orders in NMS stocks.
A broker-dealer/investment adviser settled charges with the SEC for violating recordkeeping requirements in connection with its recording of expenses incurred from the broker-dealer's underwriting activities.
An investment adviser settled SEC charges for overcharging approximately 10,000 clients an aggregate of $26.8 million.
An investment adviser settled SEC charges for imposing excess management fees and failing to disclose conflicts of interest.