NEWS & GUIDANCE
The SEC approved a long-debated pilot program to see whether an increase in tick size for the stocks of smaller and emerging companies will enhance liquidity and access to capital (IA Watch), July 21, 2014). Question: Is it worth you getting involved?   If everything goes as planned, the stocks of m...
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It’s no secret that high-frequency trading has been in the crosshairs of SEC (IA Watch, Oct. 22, 2014). A proposed rule would require as many as 125 broker-dealers trading in off-exchange venues, including many HFT firms, to become FINRA members.    The move could cost proprietary trading desks mill...
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In a move to “modernize” the industry data the SEC receives from investment advisers and investment companies, the Commission May 20th unanimously approved two new proposals.   If finalized, one would force advisers to disclose more about their use of derivatives on Form ADV and would revise the boo...
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Full text of the Securities Acts, final and proposed rules, enforcement actions and regulatory releases.