Proposed Rules

The proposed expansion would add the following entities to the definition of ‘‘SCI entity’’: registered security-based swap data repositories; registered broker-dealers exceeding an asset ...

This new proposal from the SEC would revise Reg S-P to require IAs, ICs and B-Ds to "adopt written policies and procedures for incident response ...

Disclosure requirements 'problematic,' ILPA says

Federal Register version. You have until May 8, 2023 to comment

A securitization participant shall not, for a period commencing on the date on which a person has reached, or has taken substantial steps to reach, ...

Comments will be accepted through March 31, 2023

This is an SEC proposed rule that seeks to bar conflicts of interest in the sale of asset-backed securities

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