This new final rule from the SEC in 2024 would spell out when a firm must register as a dealer
This is an SEC final rule from 2024 that could force some firms to register as dealers
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 ...
(a) The principal office of the Commission, at 100 F Street, NE, Washington, DC 20549, is open each day, except Saturdays, Sundays, and Federal holidays, ...
This rule allows entities to request confidentiality treatment of their data