The Securities and Exchange Commission (SEC) proposes to amend Regulation Systems Compliance and Integrity (Reg SCI) to update and expand the regulatory oversight of the core technology of the U.S. securities markets.1 The...more
5/9/2023
/ Alternative Trading System (ATS) ,
Broker-Dealer ,
Clearing Agencies ,
Comment Period ,
Cryptoassets ,
Cybersecurity ,
Data Repositories ,
Proposed Amendments ,
Regulation SCI ,
Securities ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
Swap Data Repositories ,
Third-Party Service Provider ,
Vendors
On December 14, 2022, the Securities and Exchange Commission (“SEC” or “Commission”) released four sweeping rulemaking proposals that would change market structure as we currently know it and introduce a new federal standard...more
The Securities and Exchange Commission (SEC) proposed to amend Regulation ATS under the Securities Exchange Act of 1934 (Exchange Act) for alternative trading systems (ATSs) that trade government securities or repurchase and...more
Overview -
On March 25, 2015, the Securities and Exchange Commission ("SEC" or "Commission") proposed an amendment to Rule 15b9-1 (the “Proposal”) under the Securities Exchange Act of 1934 ("Exchange Act") that, if...more