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The SEC's Proposal - On January 26, 2022, the SEC released a rulemaking proposal that, among other things, would expand the definition of "exchange" under Rule 3b-16 of...
The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges.
Proposal would enhance Investor protections and cybersecurity for ATSs that trade Treasuries and other government securities.
SEC proposed amendments to Form PF, the SEC proposed to expand the definition of exchange under SEA Rule 3b-16, federal executive Advisory on the risks associated with doing business in Burma, a firm settled FINRA charges for failure to establish AML policies, and more.
SEC proposed amendments to Form PF, the SEC proposed to expand the definition of exchange under SEA Rule 3b-16, federal executive Advisory on the risks associated with doing business in Burma, a firm settled FINRA charges for failure to establish AML policies, and more.