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June 17, 2022
The Commission’s rule writing calendar may be about to have a meltdown. The agency is considering a number of significant rule writing-proposals covering important areas. A number of...
June 10, 2022
Gensler said market segmentation and concentration lead to an unfair playing field in US equities.
June 9, 2022
Securities and Exchange Commission (SEC) Chair Gary Gensler proposed new rules on June 8, saying that while retail investors have greater access to markets than any time in the past, "this...
June 8, 2022
What is the outlook of the Robinhood stock price ahead of the new SEC rule change? We explain what to expect.
June 8, 2022
<p><span>Thank you, Rich (Repetto), for that kind introduction. It is good to be with you again. As is customary, I&rsquo;d like to note my views are my own, and I&rsquo;m not speaking on behalf of my fellow Commissioners or the SEC staff.</span></p>
April 8, 2022
The SEC Division of Examinations recently published its list of priorities for 2022. While it was a bit late compared to a typical year, the…
April 8, 2022
The SEC Division of Examinations recently published its list of priorities for 2022. While it was a bit late compared to a typical year, the priorities letter provides a roadmap for...
March 28, 2022
Find out about HMRCs data protection policy and procedures.
March 4, 2022
Payment for order flow (PFOF) and best execution; market access; finfluencers and gamification; and anti-money laundering were some of the most critical emerging and familiar compliance...
March 3, 2022
Payment for order flow and best execution; market access; finfluencers and gamification; and anti-money laundering were some of the most critical emerging and familiar compliance challenges faced by member firms addressed by the Financial Industry Regulatory Authority in 2022