The SEC opened a new comment period to consider objections to proposed revisions to the funding model for the consolidated audit trail.
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The SEC extended the deadline to decide whether to approve or disapprove an amendment to the CAT NMS Plan proposal which would implement a revised funding model for the consolidated audit trail and establish a new fee schedule.
A broker-dealer settled parallel charges brought by FINRA, NYSE Arca and NYSE American LLC for over-tendering shares on behalf of an affiliate and for failing to implement an effective supervisory compliance system.
Nasdaq proposed a rule change to provide alternative means - a primary direct listing - for exchange-listed companies to raise equity.
The SEC approved a NYSE rule change to provide alternative means - a primary direct listing - for exchange-listed companies to raise equity.