USA - January 30 2023
On January 10, 2023, the Financial Industry Regulatory Authority (FINRA) published its 2023 Report on its Examination and Risk Monitoring Program…
James Brigagliano, W. Hardy Callcott, Neal E. Sullivan, Corin R. Swift, Lara C. Thyagarajan, Paul M. Tyrrell, Michael D. Wolk
USA - December 29 2022
On December 14, 2022, the U.S. Securities and Exchange Commission (SEC) proposed rules that would establish SEC best execution rules and impose…
James Brigagliano, W. Hardy Callcott, Kevin J. Campion, Timothy B. Nagy, John I. Sakhleh, Lara C. Thyagarajan, Michael D. Wolk
USA - December 29 2022
On December 14, 2022, the U.S. Securities and Exchange Commission (SEC) proposed rules that would establish variable minimum pricing increments, or…
James Brigagliano, W. Hardy Callcott, Kevin J. Campion, Timothy B. Nagy, John I. Sakhleh, Lara C. Thyagarajan, Michael D. Wolk
USA - December 29 2022
On December 14, 2022, the U.S. Securities and Exchange Commission (SEC) proposed amendments to update the disclosures required under Rule 605 of…
James Brigagliano, W. Hardy Callcott, Kevin J. Campion, John I. Sakhleh, Andrew J. Sioson, Lara C. Thyagarajan, Michael D. Wolk
USA - December 29 2022
On December 14, 2022, the U.S. Securities and Exchange Commission (SEC) proposed a rule to require so called “segmented orders” of natural persons in…
James Brigagliano, W. Hardy Callcott, Kevin J. Campion, Timothy B. Nagy, John I. Sakhleh, Lara C. Thyagarajan, Michael D. Wolk