SEC Rule 17a-1
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SEC proposal offers clarity regarding Exchange Act Rule 15c2-11
The amendment would swap out the term "security" currently included in the rule and replace it with "equity security."
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What’s in a name? Part 3: Future outlook
Three-part series exploring the regulation, practice, and future of ESG/sustainability-related fund names.
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SEC, CFTC sign cooperation memo
The agreement replaces the agencies’ 2018 memorandum and sets out updated procedures for how they can work better together, and apart, from one another.
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SEC amends Enforcement Manual for the first time since 2017
A summary of the key changes reflecting the policy shift, as well as important updates modernizing and standardizing aspects of SEC enforcement processes.
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Atkins discusses CFTC-SEC harmonization and regulatory simplification
Atkins called for non-duplicative SEC-CFTC oversight and more straightforward approval of new products.
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NYSE to pay $9m SEC civil money penalty over opening auctions failure
Critical systems failure involved thousands of securities being transitioned into continuous trading without opening auctions having been conducted.
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Crypto wrap: Trump hits out over GENIUS delay, anonymous Iran bets scrutinized, SEC drops Sun case
Our pick of the latest crypto stories.
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FINRA opens broad review of arbitration process
The move signals an impending reboot of an often-criticized system.