The SEC granted exemptive relief to broker-dealers from requirements on the publication of quotations for fixed-income securities sold in compliance with rules on private resales of securities to institutions.
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A broker-dealer settled charges with FINRA for failing to have a supervisory system in place that could reasonably detect potential "spoofing" and "layering."
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.
The SEC adopted a new Exchange Act Rule requiring 'institutional investment managers' to report, on new Form SHO, information as to certain short positions in equity securities and related trading activity.