The Division encourages broker-dealers to review their practices, policies, and procedures with respect to Regulation Best Interest in order to address the issues raised in ...
Comments will be accepted through March 31, 2023
Moors & Cabot failed to fully and fairly disclose in its brochures or otherwise material information related to its own disciplinary history, as well as ...
The SEC proposes to update the disclosure required for order executions in national market system stocks
The proposed rule would prohibit a restricted competition trading center from internally executing certain orders of individual investors at a price unless the orders are ...
This is the part of the SEC's proposed new Regulation Best Execution that calls for an annual review
This is a proposed rule under the SEC's Regulation Best Interest that focuses on P&Ps and other obligations
This is the SEC's proposed standard for its best execution proposed rule
This SEC proposal would adopt variable minimum pricing increments for the quoting and trading of NMS stocks, reduce the access fee caps, and enhance the ...
"Programs must include reasonable policies and procedures to identify relevant red flags for covered accounts offered by the firm and incorporate those red flags into ...