Trading

New standards to replace outdated day trading requirements that were adopted nearly a quarter of a century ago

"Commission staff continue to assess issues related to the treatment of failed trades and clearing agency outages as well as customer protection considerations—issues that market ...

This CFTC order permits joint clearing members of the Chicago Mercantile Exchange and the Fixed Income Clearing Corporation that are dually registered as SEC broker-dealers ...

Trading and Markets staff statement provides greater clarity on the application of the federal securities laws to activities involving crypto asset securities

Tokenized securities and Reg NMS reform are two areas of current focus for Trading and Markets division

B-D was charged for failing to maintain a supervisory system reasonably designed to achieve compliance with rules prohibiting manipulative trading

The SEC estimates that the approved amendment will result in $50 million to $70 million in annual CAT cost savings

You have until May 18th to comment on a new SEC proposal that would limit B-D information requirements under a 55-year-old Exchange Act rule to ...

The proposed amendments would replace the terms “security” and “securities” in Rule 15c2-11 with the terms “equity security” or “equity securities” as related to what ...

"Since adoption of the Treasury Clearing Rule, market participants have raised a number of concerns, including with respect to the types of entities that can ...