A market-maker settled charges with NYSE American and NYSE Arca for exceeding its applicable position limits in securities trading.
News & Insights
8 News Results
FINRA proposed rule amendments to increase the position and exercise limits on select conventional options for exchange-traded funds.
The SEC provided temporary relief to broker-dealers from certain recordkeeping, reporting and monitoring requirements for large trader reporting.
The U.S. Treasury Department released a report detailing plans to reduce burdens of capital markets regulation.
The European Securities and Markets Authority issued updated "Questions and Answers" on the implementation of the Market in Financial Instruments Directive and Regulation.