21,175 results found

SEC amendments to raise the disclosure threshold for non-reporting companies that provide securities to employees and other service providers through compensatory benefit plans...

The SEC requested comment on a proposal to require public companies and mutual funds to submit certain financial information using the Inline eXtensible Business Reporting Language format.

The SEC requested comments on the annual list of rules to be reviewed pursuant to Section 610 of the Regulatory Flexibility Act.

The SEC requested comments on an FINRA proposal that will extend the expiration date of FINRA Rule 0180 ("Application of Rules to Security-Based Swaps") to February 12, 2018.

The SEC requested comments on an immediately effective FINRA proposal to make its Alternative Display Facility ("ADF") available to member firms for trade reporting only.

The SEC requested comments on a FINRA-proposed rule change that requires alternative trading systems to include additional order sequence information on reports submitted in the Order Audit Trail System.

The SEC requested comments on amendments to Rule 12400 that would permit an attorney arbitrator to be eligible for the chairperson arbitrator role if that attorney had completed chairperson training...

The SEC solicited comments on a FINRA proposal to incorporate NASD Interpretive Material 2210-2 as FINRA Rule 2211 in the consolidated FINRA rulebook.

The SEC requested comments on FINRA proposal to amend FINRA Rule 6191 to modify certain data collection requirements of the Regulation National Market System Plan to Implement a Tick Size Pilot Program.

The SEC requested comments on an MSRB proposal to (i) delay reporting of information concerning underwriters of programs under the Stephen Beck, Jr., Achieving a Better Life Experience Act of 2014 (the "ABLE Act" and an "ABLE Program") pursuant to MSRB Rule G-45, and (ii) provide guidance on the applications of MSRB Rules G-42 and G-44 until August 29, 2018.

The SEC requested comments on MSRB-proposed draft amendments that would require municipal advisors to establish continuing education requirements for an associated person who is qualified as a municipal advisor representative or municipal advisor principal (see previous coverage).

The SEC requested comments on an MSRB proposal to provide academic institutions with post-trade municipal securities transaction data collected through the MSRB Real-Time Transaction Reporting System.

The SEC requested comments on an MSRB proposal to revise the content outline for the Municipal Advisor Representative Qualification Examination ("Series 50").

The SEC requested comments on a proposal to shorten the standard settlement cycle for most broker-dealer securities transactions.

The SEC requested comments on proposed amendments to SEA Rule 15c2-12.

The SEC solicited comments on a FINRA proposal to revise its consolidated rulebook. The revisions update certain cross-references and make other "non-substantive changes."

The economists also found that greater availability of information led to a reduction in the bid-offer spread.

Recently, the Financial Executives Research Foundation (FERF) published a white paper titled, "Growing Past Emerging Growth: Five Years After the JOBS Act," which highlights areas of focus...