The Congressional Research Service reviewed the Policy debates over rebates that retail brokerage firms receive for directing retail investor stock trades to certain venues, known as "payment for order flow."
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A broker-dealer settled charges with the SEC for mismarking millions of short- and long-sale orders.
A broker-dealer settled FINRA charges for inaccurately reporting information pertaining to its handling of customers' orders in National Market System securities.
The new SEC rule on enhanced issuer repurchase disclosures was published in the Federal Register with an effective date set for July 31, 2023.
The SEC adopted a new rule that requires issuers to provide additional information on the purpose of their repurchase programs and report more detailed repurchase data on a quarterly or semi-annual basis.