This is the SEC's proposed standard for its best execution proposed rule
This is the SEC rule mandating that certain institutional managers report their proxy 'say-on-pay' votes
The Commission is correcting a final rule that appeared in the Federal Register on August 22, 2019. In the document, the Commission adopted capital and ...
The Securities and Exchange Commission (“Commission” or “SEC”) is proposing to amend Regulation NMS under the Securities Exchange Act of 1934 (“Exchange Act”) to rescind ...
In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), the Securities and Exchange Commission (“Commission”), pursuant to the Securities Exchange ...
This rule allows entities to request confidentiality treatment of their data
This is the net capital rule
This rule governs the publication of quotations for securities in a quotation medium other than a national securities exchange, i.e., over-the-counter securities
This is the rule that requires certain managers to report their larger holdings