New Rate for Fees Paid Under Section 31 of the Exchange Act ...
will not recommend enforcement action to the Commission if a broker-dealer includes cash held in a reserve account at a non-affiliated U.S. branch of a ...
SIFMA persuaded the agency because "it will be unfeasibly difficult and expensive for broker-dealers to implement procedures and controls and make necessary technology changes to ...
FINRA Requests Comment on a Proposed Rule Set for Limited Corporate Financing Brokers ...
An Open Letter to the SEC Staff Commissioner Daniel M. Gallagher U.S. Securities and Exchange Commission Washington, D.C. Feb. 21, 2014 Thank you, Norm [Champ]. ...
Addressing Known Risks to Better Protect Investors Commissioner Luis A. Aguilar U.S. Securities and Exchange Commission SEC Speaks, Washington, D.C. Feb. 21, 2014 Thank you ...
SEC Approves Changes to Expand the Categories of Civil Judicial Disclosures Permanently Included in BrokerCheck and to Include in BrokerCheck Information About Member Firms and ...
SEC Approves New Requirements for Alternative Trading Systems Implementation Dates: May 12, ...
This interim rule, released in 2014, extends the deadline for when the SEC's interim final rules end regarding exemptions for security-based swaps. This rule extends ...