PDA – Global Relay Intelligence & Practice

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SEC

SEC issues latest rule agenda, offering clues on stalled rules

July 16, 2024

The SEC’s 2024 agenda, released July 8, showcases the agency’s plans.

Julie DiMauro3 min read
SEC

SEC moves to address conflict of interest issues around data analytics

July 28, 2023

But proposed new rules for broker-dealers and investment advisers split opinion on regulator’s approach to technology.

Julie DiMauro5 min read