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.
In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
SIFMA criticized SEC proposed amendments to Regulation Systems Compliance and Integrity that would cover entities for which Reg SCI was never intended.
The Financial Information Forum, Nasdaq, CME and Investment Company Institute recommended changes to the SEC's proposed rules on cybersecurity risk management practices.