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SEC adopts amendments to broker-dealer Customer Protection Rule
Certain broker-dealers must now compute customer and reserve deposit requirements, making required deposits into reserve accounts on a daily rather than weekly basis.
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SEC modernizes submission of some forms and filings
The rule requires broker-dealers, securities-based swap dealers, exchanges, clearing agencies, and other SROs to submit forms in certain electronic formats.
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Nasdaq board diversity rules vacated
In a narrowly-obtained decision, the Fifth Circuit determined that approving the rule exceeded the SEC’s power.
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SEC approves first “lit” overnight exchange
The SEC has approved 24 Exchange’s second request to host an (almost) around-the-clock trading platform.
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SEC adds 20 unregistered entities to PAUSE list
Some of the named entities pretended to be other legitimate investment companies and fake regulators.
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Federal judge strikes down SEC’s dealer rule amendments
The SEC’s broader definition faced backlash soon after it was issued from some industry leaders, lawmakers, and investors, plus SEC Commissioners Hester Peirce and Mark Uyeda.
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SEC sued by 18 state AGs for unconstitutional overreach
The suit relates to the SEC’s controversial position that most cryptocurrencies are securities.
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SEC commissioners address registration exemptions
The remarks came as prefaces to the November meeting of the Small Business Capital Formation Advisory Committee.