The Alternative Investment Management Association, the Managed Funds Association and the National Association of Private Fund Managers filed a Complaint against the SEC to vacate the agency's recently adopted rule to change the definitions of "dealer" and "government securities dealer.”
News & Insights
229 News Results
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."
A broker-dealer settled charges brought by NYSE American for over-tendering 16,300 shares in a partial tender offer and for failing to maintain an adequate supervisory system.
A broker-dealer settled charges with the SEC for mismarking millions of short- and long-sale orders.
The Financial Information Forum asked FINRA for clarification on new requirements for order routing disclosure reports for OTC and National Market System equity securities orders.