NYSE Regulation to repatriate NYSE Group’s exchange market surveillance from FINRA
New York Attorney General applauds the decision of the University of Michigan to prevent favored release of its Consumer Sentiment Survey
The principal Canadian securities self-regulatory organization initiates consultation regarding proficiency services
Director of SEC’s Division of Enforcement comments on “broken window” philosophy
SEC amends money market fund regulations
SEC announces whistleblower award to audit and compliance professional who reported company’s wrongdoing
FINRA rule change involving “self-trades”
FINRA initiates targeted examinations involving order routing and execution quality of customer orders
In response to an SEC directive, US exchanges and FINRA have proposed a wider tick size pilot for small cap stocks
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