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DTCC Comments on Industry's Affirmation Progress, With T+1 Implementation Two Months Away

DTCC Comments on Industry's Affirmation Progress, With T+1 Implementation Two Months Away
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SEC Targets Certain Proprietary Trading Firms And Private Funds With Expanded

On Feb. 6, 2024, the US Securities and Exchange Commission ("SEC" or "Commission") adopted new Rules 3a5‑4 and 3a44‑2 (together, "Final Rules").

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Form 10-K Serve Robotics Inc. /DE/ For: Dec 31

Form 10-K Serve Robotics Inc. /DE/ For: Dec 31
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SEC To Ban Exchange Volume-Based Pricing Tiers - Securities

On October 18, 2023, the SEC proposed new Exchange Act Rule 6b-1, which, if adopted, would prohibit national securities exchanges like NYSE and Nasdaq from charging members.

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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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