FINRA Once Again Postpones Compliance Date for Margin for Covered Agency Transactions
FINRA extends compliance date for Rule 4210, margin requirements for Covered Agency Transactions by six months, to October 25, 2023.
March 10, 2023
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SEC Finalizes T+1 Rules, Proposes Massive Custody Rule Changes
The SEC has finalized its rules to shorten the standard settlement cycle for most securities transactions and proposed amendments to the custody rule and related recordkeeping and Form ADV changes.
February 16, 2023
SEC proposes sweeping market structure changes, calls for enhanced disclosure, pricing, order routing requirements and new best execution rule for brokers; adopts amendments to safe harbor rule for trading plans for insiders.
December 16, 2022
SEC Extends Relief on Fixed Income Disclosure to 2025
Buyside concerns around a 2020 amended rule that would require dealers to receive and review certain public information before they can publish quotes on fixed income securities were temporarily allayed by a welcome November 30, 2022, SEC no-action letter.
December 02, 2022
Adviser Fined for Unlawful Cross-Trades and Principal Transactions
An adviser was fined for unlawful principal and cross-trades after implementing an automated trade matching program.
December 01, 2022
Given the SEC’s increased scrutiny, it’s vital that advisers make appropriate investments to promote proper supervision and mitigate the risk of supervisory failures.
August 25, 2022
SEC Charges Adviser for Violating Short Selling Restrictions
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June 20, 2022
Gensler Targets Payment for Order Flow, Other Equity Market Structure Reforms
SEC’s Gensler targets payment for order flow and outlines several other potential areas for equity market structure reform.
June 14, 2022