News & Analysis as of November 17, 2024

Incentives › Market Making › SRO

+ Follow

Employment Law Now VI-121 - Top 5 Fall Things You Need To Know
6 Key Takeaways | Whistleblower Programs: How the U.S. Government Seeks to Create a Speak-Up Culture & Parts of the World Want One Too
Labor & Employment Symposium - Topics: Remote Work; Handling Leaves of Absence; Vaccination Incentives Under Wellness Programs
#WorkforceWednesday: OSHA ETS in Review, Texas Vaccine Mandate Ban, Health Premium Incentives - Employment Law This Week®
Susan Roberts on Creating a Compliance Program Book
Investing in Colombia: Nearshoring & Economic Incentives in Manufacturing, Technology, Infrastructure, and Energy Industries
Williams Mullen's Comeback Plan: North Carolina’s COVID-19 Job Retention Program
Drug Pricing Initiatives During the Trump Presidency
PODCAST: Wellness Program Compliance Update
FCPA Pilot Program
Day 20 - Compliance Leadership from the Bottom
Unfair and Unbalanced-Episode 18
Day 13 of One Month to Better Compliance Thru HR
Day 11 of One Month to Better Compliance Through HR-the Fair Process Doctrine
This Week in FCPA- Episode 52, for the week ending May 12, the Firing the Investigators Edition
Day 10 Of One Month to Better Compliance through HR-Sales Incentives and Compliance
Day 8 of One Month to Better Compliance Through HR-Using Compensation to Operationalize Compliance
Day 7 Of One Month To Better Compliance Through HR - Six Principles For Compliance Incentives
Day 6 of One Month to Better Compliance Through HR-Incentivizing Compliance
Ten Hallmarks of an Effective Compliance Program-Hallmark 6

Bona Fide Market Making Activity Should Include Trading Interest Other Than Quotations

Davis Wright Tremaine LLP on 2/16/2024

As part of a recent rulemaking, the Securities and Exchange Commission ("Commission" or "SEC") adopted Rule 3a5-4 to include certain liquidity providers within the meaning of the phrase "as a part of a regular business" in...more

1 Results

View per page

Page: of 1

Incentives › Market Making › SRO

Bona Fide Market Making Activity Should Include Trading Interest Other Than Quotations

"My best business intelligence, in one easy email…"