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SEC Proposes Changes to the Definition of "Exchange" under the Securities Exchange Act | Wilson Sonsini Goodrich & Rosati

The Rule Proposal Would Significantly Broaden the Scope of Systems Required to Register as an Exchange or an ATS The U.S. Securities and Exchange Commission (SEC) has issued a rule.

Regulation of Stock Exchange Fees and Platform Competition

To be successful, stock exchanges must attract sufficient numbers of market makers, who provide liquidity by quoting prices and stand ready to buy or sell, as well as traders pursuing other strategies, who often take the liquidity market makers provide by hitting offers

SEC Proposes Enhanced Proxy Voting Reports For Funds And Managers - Corporate/Commercial Law

Under the proposal, any person who files Form 13F also would now be required to file an abbreviated version of Form N-PX to disclose say-on-pay votes.

Passing The Suitability Buck To The Customer Is Never A Good Strategy | Ulmer & Berne LLP

I continue to wade my way through a few months’ worth of cases, press releases, etc., looking for things that manage to catch my attention. I found this SEC settlement from the end of.

Nasdaq Introduces Board Diversity Requirements | Locke Lord LLP