Proposed Rules

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 ...

This is the part of the SEC's proposed new Regulation Best Execution that calls for an annual review

This is a proposed rule under the SEC's Regulation Best Interest that focuses on P&Ps and other obligations

This is the SEC's proposed standard for its best execution proposed rule

The proposed amendments are designed to improve liquidity risk management programs to better prepare funds for stressed conditions and improve transparency in liquidity classifications

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 ...

The proposed rule would require advisers to conduct due diligence prior to engaging a service provider to perform certain services or functions. It would further ...

This is the SEC's proposed revised liquidity risk management rule from November 2022

This is the SEC's proposed swing pricing rule for certain registered funds that the Commission approved in November 2022

This is the SEC's new proposed rule that would require advisers to conduct due diligence and monitoring of service providers