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Republican Sen John Kennedy leads legislators against SEC list of private investor info

Sen. John Kennedy, R-La., and lawmakers are creating legislation to stop the Securities and Exchange Commission's efforts to establish an official trail of investors, citing privacy concerns.

United statesWest virginiaSouth dakotaSouth carolinaHester peirceJohn kennedyDavid dainesBarry loudermilkJerry moranJohn boozmanThomas peterffyKatie brittTommy tubervilleChris iacovellaAmerican securities associationWhile the financial industry regulatory authority

ASA, SIFMA and FINRA Say the CAT Proposal is Unfair for Broker-Dealers

ASA, SIFMA and FINRA Say the CAT Proposal is Unfair for Broker-Dealers
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Daily Financial Regulation Update -- Thursday, September 7, 2023 | Paul Hastings LLP

September 6, 2023- The U.S. House Committee on Financial Services announced a hearing entitled, "Oversight of the Committee on Foreign Investment in the United States (CFIUS).

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SEC Approves Funding Amendment to National Market System Plan Governing the Consolidated Audit Trail

SEC Approves Funding Amendment to National Market System Plan Governing the Consolidated Audit Trail
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SEC gov | SEC Approves Funding Amendment to National Market System Plan Governing the Consolidated Audit Trail

SEC gov | SEC Approves Funding Amendment to National Market System Plan Governing the Consolidated Audit Trail
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