In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
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101 News Results
The SEC directed FINRA and the equity exchanges to submit a new national market system plan to replace the three current national market system plans.
The SEC requested comment on a partial amendment that would clarify the CAT NMS Plan proposal to implement a revised funding model for the consolidated audit trail and establish a new fee schedule.
The SEC extended the period to approve a joint SRO proposal to implement a revised funding model for the consolidated audit trail and establish a fee schedule for Participant CAT fees.
The SEC opened a new comment period to consider objections to proposed revisions to the funding model for the consolidated audit trail.