BD Rules & Regulatory Actions

Business Team Investment Entrepreneur Trading discussing and analysis graph stock market trading,stock chart concept
Comments will be accepted through March 31, 2023
Business man falling down the stairs in the office concept for accident and insurance injury claim at work
Moors & Cabot failed to fully and fairly disclose in its brochures or otherwise material information related to its own disciplinary history, as well as ...
Listen to a secret
The SEC proposes to update the disclosure required for order executions in national market system stocks
Happy waitress taking an order at a restaurant and talking to customers
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 ...
Young African business executive wearing a shirt and tie sitting at his desk in an office working online with a laptop
This is the part of the SEC's proposed new Regulation Best Execution that calls for an annual review
Business Stock Exchange Trading Concepts
This is a proposed rule under the SEC's Regulation Best Interest that focuses on P&Ps and other obligations
Business team investment trading do this deal on a stock exchange. People working in the office.
This is the SEC's proposed standard for its best execution proposed rule
Charging Bull sculpture in New York City
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 ...
Stealing a credit card through a laptop concept for computer hacker, network security and electronic banking security
"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 ...
EXAMS encourages broker-dealers to review their policies and procedures related to the new and enhanced information requirements under Rule 606 and reevaluate the accuracy and ...

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