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April 4, 2023
On February 15, 2023, the US Securities and Exchange Commission (the SEC) proposed sweeping changes to Rule 206(4)-2 (the Custody Rule) under the…
April 3, 2023
Order Competition Rule would harm competition among trading centers and should be withdrawn.
March 14, 2023
On January 25, 2023, the United States Securities and Exchange Commission (the SEC) revived a proposed rule (initially proposed in September 2011) pursuant to Section 27B (Proposed Rule...
January 13, 2023
The Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) issued a proposed rule (Proposed Rule) on December 15, 2022, implementing the requirements of Section 6403...
December 27, 2022
On December 14, 2022, the U.S. Securities and Exchange Commission (the SEC) adopted amendments to the affirmative defense in Rule 10b5-1(c) under the Securities Exchange Act of 1934, as amended (the Exchange Act)...
December 22, 2022
On December 14, 2022, the U.S. Securities and Exchange Commission (the SEC) adopted amendments to the affirmative defense in Rule 10b5-1(c) under the Securities Exchange Act of 1934, as...
December 16, 2022
On December 14, 2022, the SEC unanimously adopted significant changes to the requirements for Rule 10b5-1 trading plans, one day shy of the anniversary of its proposals, including...
December 16, 2022
The Securities and Exchange Commission ("SEC" or the "Commission") issued four sweeping proposals on December 14, 2022, covering a broad range of market structure and regulatory issues...
December 8, 2022
<p><span>Thank you, Ben [Zycher], and thanks to the American Enterprise Institute for the opportunity to be part of today&rsquo;s event. Before I begin, I must remind you that my views are my own and not necessarily those of the Securities and Exchange Commission (&ldquo;SEC&rdquo;) or my fellow Commissioners. As an SEC Commissioner, I appreciate hearing about people&rsquo;s views of the SEC, even negative ones. Recently, for example, an email came in saying, &ldq...
December 2, 2022
On 2 November 2022, by a vote of 3-2 (with Commissioners Hester Peirce and Mark Uyeda objecting), the Securities and Exchange Commission (SEC) adopted, substantially as proposed in...