The SEC announced that SEC staff have published a statement that encourages market participants to proactively manage their trans...
CN Editor
July 15, 2019
NYSE SEEKS APPROVAL FOR TOKENIZED TRADING
SEC AND CFTC JOINTLY PROPOSE AMENDMENTS TO REDUCE PRIVATE FUND REPORTING BURDENS
SEC SET TO CANCEL ADVISORY FIRMS" REGISTRATIONS
SEC SEEKS PUBLIC COMMENT ON THE CONSOLIDATED AUDIT TRAIL AND OTHER AUDIT TRAILS AND DATA SOURCES
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BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
HOW FIRMS CAN USE AI IN A RESPONSIBLE, COMPLIANT WAY
ADJUDICATOR IN OSC VS. PURPOSE CASE STEPS DOWN
GUIDANCE ON TRADING SUPERVISION OBLIGATIONS