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Republican Sen John Kennedy leads legislators against SEC list of private investor info

Sen. John Kennedy, R-La., and lawmakers are creating legislation to stop the Securities and Exchange Commission's efforts to establish an official trail of investors, citing privacy concerns. ....

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ASA, SIFMA and FINRA Say the CAT Proposal is "Unfair" for Broker-Dealers

ASA, SIFMA and FINRA Say the CAT Proposal is "Unfair" for Broker-Dealers
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Daily Financial Regulation Update -- Thursday, September 7, 2023 | Paul Hastings LLP

September 6, 2023- The U.S. House Committee on Financial Services announced a hearing entitled, "Oversight of the Committee on Foreign Investment in the United States (CFIUS). ....

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SEC Approves Funding Amendment to National Market System Plan Governing the Consolidated Audit Trail

SEC Approves Funding Amendment to National Market System Plan Governing the Consolidated Audit Trail
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SEC.gov | SEC Approves Funding Amendment to National Market System Plan Governing the Consolidated Audit Trail

SEC.gov | SEC Approves Funding Amendment to National Market System Plan Governing the Consolidated Audit Trail
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