"Rule 17a-14(c) should not apply to Trump accounts because they are subject to statutory limitations that materially limit account features in a way that, at ...
New standards to replace outdated day trading requirements that were adopted nearly a quarter of a century ago
Continued pressure from SROs and other market participants has led the SEC to conduct a comprehensive review of the CAT
She poses a number of questions she hopes industry will answer via the comment process
There’s no doubt the impact of social media on investors is ever growing, fueled, in part, by the rise of finfluencers
The firm's WSPs provided that when a minor beneficiary of an UTMA account reaches the age of majority or alternative age of termination, the custodian ...
Taking steps to retain an outside consultant after four audits flagged system issues that hampered effective surveilling for potentially violative insider trading is a productive, ...
There have been several developments since the Commission last evaluated the scope and sufficiency of these audit trails and related data sources. These developments have ...
This CFTC order permits joint clearing members of the Chicago Mercantile Exchange and the Fixed Income Clearing Corporation that are dually registered as SEC broker-dealers ...
Trading and Markets staff statement provides greater clarity on the application of the federal securities laws to activities involving crypto asset securities