Certain Derivative Securities News Today : Breaking News, Live Updates & Top Stories | Vimarsana

The SEC proposed amendments to rules governing beneficial ownership reporting under SEA Sections 13(d) ("Reports by Persons Acquiring More Than Five per Centum of Certain Classes of Securities") and 13(g) ("Statement of Equity Security Ownership").

The SEC proposed amendments to agency rules governing beneficial ownership reporting. Also, FINRA covered twenty-one different topics related to a firm's core compliance responsibilities. FINRA added five new topics since last year's report.