The SEC set a new comment deadline of June 13, 2023 for a proposal that would amend the statutory definition of "exchange" to include trading systems that facilitate the trading of crypto asset securities.
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The SEC finalized amendments to rules on securities market manipulation that will remove references to reliance on credit rating agencies.
A broker-dealer settled FINRA charges for accepting market orders for newly issued shares prior to the commencement of trading those shares on the secondary market.
The SEC reopened the comment period for a proposal that would amend the statutory definition of "exchange" to include trading systems that facilitate the trading of crypto asset securities.
A broker-dealer settled FINRA charges for failing to timely review a request to engage in an outside business activity ("OBA") involving the sale of a security.