Commission action creates a new regulatory framework featuring the required registration and regultion of security-based swap execution facilities
Commissioner characterized the penalties associated with off-channel communications-related enforcement actions as "astonishing"
FINRA enforcement action flags need to require multi-factor authentication for third-party service providers
Some commenters also asserted that the proposed amendment to Rule 13d-1(b) raises significant concerns regarding harm to investment advisers and funds and would impose substantial ...
The SEC finalizes this rule that will increase the transparency and efficiency of the securities lending market by requiring certain persons to report information about ...
FINRA report concludes that quantum computing could "significantly alter the securities industry in the future"
The guidance follows close on the heels of the Oct. 16 effective date for revised rules relating to the expungement of customer dispute information from ...
The new rule will require certain confidential loan information to be reported to a registered national securities association
New rule will require institutional investment managers meeting or exceeding certain thresholds to report on Form SHO short position data and activity for equity securities
Proposed rule would prohibit national securities exchanges from offering volume-based transaction pricing tied to the execution of agency or riskless principal orders in NMS stocks