The new rule and related form are designed to provide greater transparency through the publication of short sale-related data to investors and other market participants. ...
This is the SEC rule targeting B-Ds and transfer agents regarding the retention of records
This is a books and records rule for B-Ds
This is the SEC's rule shortening the trading cycle to T+1
This is another rule related to the SEC's move to T+1 settlement dates
This new final rule from the SEC in 2024 would spell out when a firm must register as a dealer
This is an SEC final rule from 2024 that could force some firms to register as dealers
This is the SEC's proposed standard for its best execution proposed rule
This is the SEC rule mandating that certain institutional managers report their proxy 'say-on-pay' votes
The Commission is correcting a final rule that appeared in the Federal Register on August 22, 2019. In the document, the Commission adopted capital and ...