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 ...
It doesn’t appear SEC examiners interest in advisers that pursue ESG strategies is dulling. RCW has obtained two new Division of Examinations document request letters ...
Among the nearly 250 questions the SEC asks the industry in the proposal, more than once the agency touches on its potential fallout on IAs
The proposed amendments are designed to improve liquidity risk management programs to better prepare funds for stressed conditions and improve transparency in liquidity classifications
The SEC approved four separate, but interrelated, proposals that affect equity market structure
This second in a new series on exams conducted by the SEC’s Division of Examinations shares strategies for acing your next one
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 ...
In this first of a three-part series on recent exams, we pass along a list of other tips provided by sources talking with RCW about ...
Sources have shared with RCW questions from what’s described as a new Division of Examinations sweep exam looking at how firms handle use of e-devices ...
Slick fraudsters can go to great and cunning lengths to disguise their thievery, but you’ve a tool in your compliance arsenal that can aid in ...