The number of such Commission enforcement actions has now been pushed to 42, self-reporting suggested
The proposed modernization of the clearance and settlement process comes with a March 31, 2024 compliance date should final rules be adopted
The SRO flags over 20 different focus areas, including nearly a half dozen issues it will be eyeballing this year
Industry group concludes that the benefits of moving to T+0 wouldn't outweigh the risks
SRO reminds that firms need to be dialed in to what is considered 'prompt' execution in light of developing technology
New topics include the handling of trusted contact persons, the disclosure of order routing, and portfolio margining
Initiative seen as improving transparency and enhancing the regulatory audit trail in the securities lending market
The proposed amendments retain the contours of rule 3240, strengthen its general prohibitions and modernize the "immediate family" exception
SRO has confirmed the value and effectiveness of rule 4730 and will maintain the BCP rule without change
J.P. Morgan Securities employees often communicated about securities business on their personal devices and those records were not preserved