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Proposed Rules

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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 ...
Word In Wooden Cube
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
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Federal Register version. You have until May 8, 2023 to comment
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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, ...
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Comments will be accepted through March 31, 2023
Listen to a secret
The SEC proposes to update the disclosure required for order executions in national market system stocks
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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 ...
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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
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