“2023 is going to be another crazy year"
One CCO’s hoping for a “boring” 2023 that lacks any new SEC rules. “One of the goals is to have a quiet year,” says the ...
Feedback included calling the proposal “unnecessary and unwarranted,” “overbroad and vague,” and “impracticable”—and that’s just from the comments of the Investment Adviser Association
The proposed rule would prohibit a restricted competition trading center from internally executing certain orders of individual investors at a price unless the orders are ...
It doesn’t appear SEC examiners interest in advisers that pursue ESG strategies is dulling. RCW has obtained two new Division of Examinations document request letters ...
Among the nearly 250 questions the SEC asks the industry in the proposal, more than once the agency touches on its potential fallout on IAs
The proposed amendments are designed to improve liquidity risk management programs to better prepare funds for stressed conditions and improve transparency in liquidity classifications
The SEC approved four separate, but interrelated, proposals that affect equity market structure
This second in a new series on exams conducted by the SEC’s Division of Examinations shares strategies for acing your next one
This SEC proposal would adopt variable minimum pricing increments for the quoting and trading of NMS stocks, reduce the access fee caps, and enhance the ...