Comments on an SEC proposal to establish a best execution regulatory framework for broker-dealers, government securities broker-dealers and municipal securities dealers are due by March 31, 2023.
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 pricing service provider settled SEC charges for failing to disclose to customers that its independent pricing service could, at times, reach a valuation that would be largely driven by a single data input.
Comments on an SEC proposal to update the disclosures required for order executions in NMS stocks are due by March 31, 2023.
Comments on an SEC proposal amending Regulation NMS to prohibit restricted competition trading centers from executing segmented orders for NMS stocks internally unless the order was first subject to competition in a qualified auction are due by March 31, 2023.