Compliance
House Appropriations Bill Would Block Safeguarding and Swing Pricing Proposals, Among Others
The legislation also targets the climate disclosure and market structure proposals.
Compliance
House Republicans Eye SEC Regulatory, Enforcement Budget
A letter from the House Financial Services Committee calls for a freeze on the SEC’s enforcement budget and the defunding of five total SEC proposals.
Compliance
Execution Quality Disclosure, Tick-Size SEC Proposals Enjoy Industry Support
Mandatory auctions and Reg BE are considerably less popular.
Compliance
Commenters Urge SEC to Implement Market Proposals Sequentially
The growing chorus of caution now includes the Department of Justice.
Compliance
Gensler to Testify at House Oversight Hearing Next Week
Items such as the SEC’s market structure and cybersecurity proposals are likely targets for questioning, as is the SEC’s climate disclosure proposal.
Compliance
Compliance
SEC Votes to Advance Trading Proposals
The four proposals aim to improve competition and transparency in securities trading.
Investment Managers Share Steps They Take for Compliance
A survey finds cybersecurity is registered investment advisers' (RIAs) highest concern.