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BD Rules & Regulatory Actions

The SEC's Trading & Markets Division "will not recommend enforcement action to the Commission against broker-dealers that do not treat family offices that qualify as ...
A broker-dealer must not allow payment for order flow to interfere with its efforts to obtain best execution
The Commission is proposing to issue an order granting conditional exemptive relief to SEC-registered clearing agencies also registered with the Commodity Futures Trading Commission as ...
To be eligible for the exemption, the registered security-based swap dealer must comply with two relevant conditions to the parallel exemption from broker registration in ...
"The Commissions request comment on all aspects of the portfolio margining of uncleared swaps and non-cleared security-based swaps, including on the merits"
Under the proposed amendment, a shareholder could satisfy any one of these thresholds to be eligible to submit a proposal
The SEC proposes two classes of exemption for finders so they wouldn't have to register as broker-dealers. Comments must be received by Nov. 12
The SEC pinpoints the firm's errors in "repeatedly" mismarking sell orders in contravention of Reg SHO
As a registered broker-dealer, an ATS must also, in addition to complying with Regulation ATS, comply with broker-dealer filing and conduct obligations, including becoming a ...
Rule 15c3-l, promulgated thereunder (the “net capital rule”), requires that a broker-dealer “at all times have and maintain net capital” no less than the greatest ...
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