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Tuesday, January 21, 2025
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Tag: SEC

Responses to FAQs Concerning Rule 301(b)(5) under Regulation ATS “Fair Access Rule”

Responses to FAQs Concerning Rule 301(b)(5) under Regulation ATS “Fair Access Rule”

SEC Provides for Phased CAT Broker-Dealer Reporting Timelines with Conditional Exemption for Impacts of COVID-19

SEC Provides for Phased CAT Broker-Dealer Reporting Timelines with Conditional Exemption for Impacts of COVID-19

Reg BI – By the Way

Reg BI – By the Way

Highlights from Center for Financial Markets Webinar on COVID-19 Volatility

Highlights from Center for Financial Markets Webinar on COVID-19 Volatility

The Regulators’ Dilemma

The Regulators’ Dilemma

OTC Markets Comments on SEC Proposal 15c2-11

OTC Markets Comments on SEC Proposal 15c2-11

CAT Now Open for Reporting by Broker-Dealers

CAT Now Open for Reporting by Broker-Dealers

S&P Intelligence Expands Data Suite with Machine Readable Filings

S&P Intelligence Expands Data Suite with Machine Readable Filings

Moving Forward with RegBI – Communicate Early and Often

Moving Forward with RegBI – Communicate Early and Often

Division of Trading and Markets Staff Statement Regarding Requirements for Certain Paper Submissions in Light of COVID-19 Concerns

Division of Trading and Markets Staff Statement Regarding Requirements for Certain Paper Submissions in Light...

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