SEC Archives - Page 3 of 11 - Traders Magazine

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”

April 27, 2020

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

April 21, 2020

Reg BI – By the Way

Reg BI – By the Way

April 17, 2020

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

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

April 16, 2020

The Regulators’ Dilemma

The Regulators’ Dilemma

April 15, 2020

OTC Markets Comments on SEC Proposal 15c2-11

OTC Markets Comments on SEC Proposal 15c2-11

April 14, 2020

CAT Now Open for Reporting by Broker-Dealers

CAT Now Open for Reporting by Broker-Dealers

April 14, 2020

S&P Intelligence Expands Data Suite with Machine Readable Filings

S&P Intelligence Expands Data Suite with Machine Readable Filings

April 14, 2020

Moving Forward with RegBI – Communicate Early and Often

Moving Forward with RegBI – Communicate Early and Often

April 9, 2020

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...

April 3, 2020

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