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Acting SEC directors reflect on an unprecedented year
Topics included outreach efforts, enforcement actions, and the benefits of cooperation.
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SEC acts to improve clearing agencies’ risk management
Amendments relate to intraday margin collection and use of substantive inputs; new rule establishes elements of a clearing firm’s recovery plan.
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SEC Chair highlights competition in capital markets in speech
Thought-provoking remarks following the speech suggest treasury market reform a key focus for the SEC, while books and record requirements remain non-negotiable.
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Cumberland sued by SEC for offering “crypto securities” as unregistered dealer
This marks the first time the SEC has gone after a large OTC crypto market maker for failing to register as a broker-dealer.
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What the SEC amends to regulation NMS mean
The amendments to Reg NMS include updates to minimum tick sizes, access fee caps, and odd lot/round lot details.
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Mock exams – your questions answered
The challenges and opportunities of preparing for a mock SEC examination.
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SEC Chair Gensler warns on AI conflicts of interest
As AI becomes increasingly widespread, financial institutions will have to make sure that their clients are coming first.
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SEC adopts reporting enhancements for registered investment companies
The SEC adopted amendments to reporting requirements on Form N-PORT so it can get more timely information about certain registered investment companies.