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.
Tag: Reg BE
Regulation
FINRA, SEC Detail Enforcement Priorities in Reg BI, BE Exams
Officials from the two regulatory groups outlined common missteps discovered while enforcing regulations covering conflicts of interest and trade execution.