Regulation
SEC Finalizes Liquidity Dealer Rule
The rule would require unregistered liquidity providers to register as dealers with the SEC.
Tag: broker-dealer
Regulation
Should SEC’s Rule 605 Come Before Other Market Structure Proposals?
Of the four market structure proposals, Rule 605 is the most popular, and some argue it should be implemented ahead of the others.
Regulation
New SEC Proposal Would Limit Bulk Discounts for Exchange Trading
Exchanges would be forbidden from offering volume-oriented rebates or pricing for broker/dealer agency orders.
Regulation
House Democrats Express Misgivings About Some Market Structure Proposals
House Republicans have opposed these proposals for some time, but Democratic skepticism is also emerging.
Regulation
Barr Introduces Another Anti-ESG Bill in House
Mirroring language from Trump-era rules, the Ensuring Sound Guidance Act would require that only pecuniary factors be considered by fiduciaries in investment decisions.
Regulation
House Republicans Seek to Block Funding for SEC Regulatory Agenda
House Financial Services Committee Chairman Patrick McHenry requested that five SEC rule proposals and planned hires not be funded in appropriations process.
Regulation
Industry Consensus Begins to Emerge on SEC Market Proposals
Execution disclosure and tick-size changes are good; Reg BE and mandatory auctions are criticized.
News
DOJ Comments On SEC Market Structure Proposals
The DOJ urged the SEC to consider all interactions with its four proposals when they are taken together, a concern shared by many in the financial industry.
Regulation
SEC Market Structure Proposals: Last Week for Public Comments
Interested parties have until the end of March to submit comments on the four SEC market structure proposals.
Regulation
SEC Proposes Updates to Cyber and Data Security Rules
One new rule from the SEC would update Reg SCI; the other would update Reg S-P, both to require more timely reporting of data breaches.
Regulation
SEC Proposes Four New Rules, Adopts One
The new rules would change the way securities are traded and the enforcement of insider trading.
Regulation
SEC Settles Charges with Firm Over Failing to Report Hacking Attempts
GWFS Equities allegedly neglected to report three years of suspicious activities by ‘bad actors.’