The Request asks about non-compliance with Rule 15c3-1 if broker-dealers treat certain receivables resulting from bank sweep programs as allowable assets
Find links to certain SEC Division of Trading and Markets-related documents in response to the effects of COVID-19
The disruptions resulting from COVID-19 mentioned above could hamper the efforts of municipal advisors to timely meet filing deadlines for annual updates to Form MA
BMA Securities violated the rule on hundreds of occasions by failing to close out allocated fail to deliver positions
We are proposing to modernize and simplify the Securities Act integration framework for registered and exempt offerings
These SEC FAQs can help you prepare for Reg BI
The proposal could update the national market system for the collection, consolidation, and dissemination of information with respect to quotations for and transactions in stocks
More than 2,000 transactions did not contain any provisions to satisfy the Pre-Release Obligations
Rule includes an interpretation addressing the application of the portfolio reconciliation, portfolio compression, and trading relationship documentation requirements to cross-border security-based swap activities
The Commission is providing guidance regarding the application of certain uses of the terms ‘‘arranged’’ and ‘‘negotiated’’