SEC Reg NMS
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FINRA disciplinary action update 2025/2
Disciplinary decisions issued January 11 – 17, 2025.
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FINRA disciplinary action update 2024/45
Disciplinary decisions issued November 16 – 22, 2024.
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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.