Trading

This is the SEC's rule shortening the trading cycle to T+1

This is another rule related to the SEC's move to T+1 settlement dates

"As the compliance date of May 28, 2024, approaches, the Commission will continue its efforts to help facilitate a successful transition"

'Major event' officially becomes operative on Tuesday, May 28, the day after Memorial Day

FINRA charged TD Ameritrade with not exercising "reasonable due diligence" before approving certain customers to trade options

FINRA exam sweep status update featured questions brokerage firms should consider asking when approving options trading

SEC examiners plan to continue to conduct examinations and engage in outreach with firms to assess their T+1 preparedness

One of the seven FAQs addresses IA recordkeeping requirements tied to T+1 transition

Public privy to the dissemination of U.S. Treasury transactions on a trade-by-trade basis

Among other things, EXAMS may review whether and how Registrants have evaluated the potential impact of the final rules on their: (i) business activities; (ii) ...