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Market Structure
Even before the rapid market slide of May 6thSEC Commissioners sought to review "whether market structure rules have kept pace with ... changes in trading ...
Their respective staffs have put countless hours into understanding what caused the Dow's plunge on May 6 but a definite answer has proven elusive. At ...
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 ...