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"As the compliance date of May 28, 2024, approaches, the Commission will continue its efforts to help facilitate a successful transition"
'Major event' officially becomes operative on Tuesday, May 28, the day after Memorial Day
FINRA charged TD Ameritrade with not exercising "reasonable due diligence" before approving certain customers to trade options
FINRA exam sweep status update featured questions brokerage firms should consider asking when approving options trading
SEC examiners plan to continue to conduct examinations and engage in outreach with firms to assess their T+1 preparedness
One of the seven FAQs addresses IA recordkeeping requirements tied to T+1 transition
Public privy to the dissemination of U.S. Treasury transactions on a trade-by-trade basis
Business team investment trading do this deal on a stock exchange. People working in the office.
Among other things, EXAMS may review whether and how Registrants have evaluated the potential impact of the final rules on their: (i) business activities; (ii) ...
SEC Chairman welcomes the coming change to the "market plumbing" of clearance and settlement
SEC Chairman Gary Gensler
"While many Americans will be celebrating the unofficial start of summer over Memorial Day weekend, another important thing will be happening. We will transition in ...

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