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SEC adopts amendments to Regulation S-P to address risks associated with the expanded use of technology | A&O Shearman

SEC adopts amendments to Regulation S-P to address risks associated with the expanded use of technology | A&O Shearman
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Upcoming Compliance Date: The T+1 Settlement Cycle | Kelley Drye & Warren LLP

The Securities and Exchange Commission (the “SEC”) adopted changes to Rule 15c6-1 under the Securities Exchange Act of 1934, as amended on February 15, 2023, to shorten the standard. ....

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Spring Has Sprung for Recent Reg NMS Reporting Changes | McGuireWoods LLP

On March 6, the SEC released its long-anticipated adopting release amending Rule 605. Separately, in late February, FINRA issued Regulatory Notice 24-05 discussing new FINRA Rule 6151, . ....

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FINRA Proposes to Add 'Knowledgeable Employees' to Category of Persons Who May Receive Projections and Targeted Returns Under Rule 2210 | Goodwin

FINRA Proposes to Add 'Knowledgeable Employees' to Category of Persons Who May Receive Projections and Targeted Returns Under Rule 2210 | Goodwin
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SEC Expands Definition of "Dealer" to Capture Liquidity Providers

SEC Expands Definition of "Dealer" to Capture Liquidity Providers
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