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
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 Proposes Rules Limiting the Use of Artificial Intelligence by Registered Investment Advisers and Broker-Dealers August 1, 2023
