New SRO rules, rule proposals and NMS plans were announced by the SEC. Click on the links below to view the SEC's notices of exchange rule changes and proposals from February 22 to February 26.
News & Insights
A registered open-end management investment company requested relief from various rules under the Securities Exchange Act and Regulation M.
In a second review of progress toward implementation of IOSCO's Principles for Financial Benchmarks, the IOSCO Review Team found that the administrators of EURIBOR, LIBOR and TIBOR implemented a majority of the recommendations on governance, transparency and accountability contained in the July 2014 Review.
The SEC requested comment on a FINRA proposal to reduce the synchronization tolerance for FINRA members' computer clocks that record events in National Market System securities, including standardized options and OTC Equity Securities.
A FINRA proposal to amend rules requiring FINRA members to identify broker-dealers who are not themselves FINRA members, but who send orders to reporting FINRA members, was published in the Federal Register.