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The SEC is giving the industry 10 days to comment on a proposed rule that would pause trading in an individual stock if its price ...
In letters and speeches, investment industry advocates are lobbying Congress on how to pursue a potential harmonization of regulations governing investment advisers and broker-dealers. IA ...
SECURITIES AND EXCHANGE COMMISSION17 CFR PART 242[Release No. 34-53829; File No. S7-10-04]Regulation NMSAGENCY:Securities and Exchange Commission.ACTION:Final rule; extension of compliance dates.SUMMARY:The Commission is extending the ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-51983A; File No. S7-02-04]RIN 3235-AI02Amendments to the Penny Stock RulesAGENCY:Securities and Exchange Commission.ACTION:Final rule; corrections.SUMMARY:In Release No. ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 242[Release No. 34-52196; File No. S7-10-04]Regulation NMSAGENCY:Securities and Exchange Commission.ACTION:Final rule; extension of compliance date.SUMMARY:The Commission is extending the ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 242[Release No. 34-51808A; File No. S7-10-04]RIN 3235-AJ18Regulation NMSAGENCY:Securities and Exchange Commission.ACTION:Final rule; correcting amendment.SUMMARY:The Securities and Exchange Commission published ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 242[Release No. 34-52355; File No. S7-10-04]Regulation NMSAGENCY:Securities and Exchange Commission.ACTION:Final rule; extension of compliance date.SUMMARY:The Commission is extending the ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 Release No. 34-50700; File No. S7-40-04RIN 3235-AJ36CONCEPT RELEASE CONCERNING SELF-REGULATIONAGENCY:Securities and Exchange Commission.ACTION:Concept release; Request for comment.SUMMARY:The Securities ...
SECURITIES AND EXCHANGE COMMISSION17 CFR PARTS 200, 230, 240, 242, and 249[Release No. 34-49749; File No. S7-10-04]RIN 3235-AJ18REGULATION NMSAGENCY:Securities and Exchange Commission.ACTION:Proposed rule; extension of ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 Release No. 34-47571; File No. S7-07-03RIN 3235-AI78 Request for Comment on the NYSE Petition Relating to Participant Fee ...