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Recent regulatory changes mentioning . View Complete List


Proposed Collection; Comment Request; Extension: Rule 15b1-1/Form BD

Published : 2022-12-06


Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities)

Published : 2022-12-06


SEC Adopts Amendments to Electronic Recordkeeping Requirements for Broker-Dealers and Security-Based Swap Dealers

Published : 2022-11-29


Administrative Summary -- Legal & General Investment Management America, Inc.

Published : 2022-11-21


Legal & General Investment Management America, Inc.

Published : 2022-11-21


Proposed Collection; Comment Request; Extension: Rule 10b-10

Published : 2022-11-18


FINRA Targets Crypto-Related Communications

Published : 2022-11-16


SR-FINRA-2022-031 Proposed Rule Change to Adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities) -- Text of the Proposed Rule Change

Published : 2022-11-16


Broker-Dealer Fined for Failing to Collect Customer Account Information

Published : 2022-11-16


Hinman Au AWCs (Letters of Acceptance, Waiver, and Consent)

Published : 2022-11-11


Risk Alert: Observations Related to Regulation NMS Rule 606 Disclosures

Published : 2022-11-10


Submission for OMB Review; Comment Request; Extension: Rule 17a-4

Published : 2022-11-08


Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants

Published : 2022-11-03


Part 240 - General Rules and Regulations, Securities Exchange Act of 1934

Published : 2022-11-03


Submission for OMB Review; Comment Request; Extension: Rule 17a-13

Published : 2022-10-31


Subpart C - Duties and Responsibilities of Customs Brokers

Published : 2022-10-18


Statement on Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants

Published : 2022-10-12


Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants

Published : 2022-10-12


Part 240 - General Rules and Regulations, Securities Exchange Act of 1934

Published : 2022-10-11


Charles V. Malico AWCs (Letters of Acceptance, Waiver, and Consent)

Published : 2022-10-11


15 USC 7219(h)

Published : 2022-10-11


15 USC 7215(c)

Published : 2022-10-11


15 USC 6102(d)

Published : 2022-10-11


15 USC Section 80a-9(a)

Published : 2022-10-11


15 USC 78jjj(b)

Published : 2022-10-11


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