Articles

Results 1 to 5 of 35


FINRA Issues 2023 Report on Its Examination and Risk Monitoring Program

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

SEC Proposes Comprehensive Best Execution Framework for Broker-Dealers

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

SEC Proposes Rules Related to Minimum Pricing Increments, Access Fee Caps, and Transparency of Better Priced Orders

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

SEC Proposes Amendments to Modernize Disclosure of Order Execution Information

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

SEC Proposes Rule to Enhance Competition for Certain Individual Investor Orders

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