SEC Commissioner Mark T. Uyeda highlighted current regulatory challenges concerning (i) the definition of "dealer" under the Exchange Act, (ii) the lack of guidance over cryptocurrencies and (iii) the handling of off-channel communications by broker-dealers.
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The SEC set an effective date of January 2, 2024 and accompanying compliance dates for new Exchange Act Rule Rule 10c-1. The final rule was published in the Federal Register.
The SEC set an effective date of January 2, 2024 for new Exchange Act requirements for reporting on certain short positions in equity securities and related trading activity.
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.
In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.