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Daily Financial Regulation Update -- Thursday, November 2, 2023 | Paul Hastings LLP

November 1, 2023- The Federal Open Market Committee decided to maintain the target range for the federal funds rate at 5-1/4 to 5-1/2 percent. November 1, 2023- . ....

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To Do Checklists for the Month of April / May 2023 | ACA Group

Form 13H: Following an initial filing of Form 13H, all large traders must make an amended filing to correct inaccurate information promptly (within ten days) following the quarter-end. ....

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SEC Pushes Toward The Digital Age, Proposes To Eliminate More Paper-Based Filings - Securities

On March 22, 2023, the Securities and Exchange Commission (the SEC) proposed amendments that would require electronically submitting certain filings, including Securities. ....

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federalregister.gov - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from federalregister.gov Daily Mail and Mail on Sunday newspapers.

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FINRA Fines Credit Suisse $9 Million for Violating Customer Protection Rule

The regulator accused the firm of failing to maintain control of billions of dollars of margin securities. ....

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