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SEC Adopts Rules Requiring Daily Computation of Customer and PAB Reserve Requirements for Certain Broker-Dealers

December 30, 2024

Clearing Agency Participants Take Note: Covered Clearing Agency Resilience Rules Could Bring New Margin Requirements

October 31, 2024

SEC 2025 Exam Priorities: Private Funds, Cyber, Crypto, and New Rule Compliance

October 25, 2024

The Next Market Structure Rule Arrives: SEC Adopts New Minimum Pricing Increments and Access Fee Caps

September 26, 2024

Keener, Almagarby, and the Scope of the “Dealer” Definition: Potential Implications for Fund Managers and other Investors

June 10, 2024

SEC Adopts Amendments to Reg S-P

May 23, 2024

SEC Approves Amendments to Enhance Disclosure of Order Execution Information

March 19, 2024

SEC Finalizes Rule Requiring Securities Loan Reporting

October 30, 2023

SEC Adopts New Short Position Reporting Requirements for Market Participants

October 25, 2023

SEC Proposes Rules Limiting the Use of Artificial Intelligence by Registered Investment Advisers and Broker-Dealers

August 1, 2023

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