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Recent regulatory changes mentioning . View Complete List


Administrative Summary -- Vincent Issier

Published : 2022-12-06


Vincent Issier

Published : 2022-12-06


GOV1392-22 New Sponsored Member

Published : 2022-12-06


Imposing $7.7 Million in Fines, PCAOB Sanctions Three Firms and Four Individuals From KPMG Global Network

Published : 2022-12-06


Old Slip Capital Management, Inc. AWCs (Letters of Acceptance, Waiver, and Consent)

Published : 2022-12-06


OSC investor warnings and alerts for November 15-December 6, 2022

Published : 2022-12-06


BCSC panel orders three people who defrauded investors to pay more than $1.5 million and permanently bans them from investment market

Published : 2022-12-06


Statement of Commissioner Summer K. Mersinger on Order Regarding TeraExchange, LLC Application for Reinstatement of Registration as a SEF

Published : 2022-12-06


The New York Stock Exchange and the Tel Aviv Stock Exchange Sign Memorandum of Understanding on Dual Listings

Published : 2022-12-06


Verena Ross' speech at the DSW / Better Finance International Investors' Conference, 6 December 2022- The Green Deal vs. Geopolitics

Published : 2022-12-06


INFINITY-SAVINGS.XYZ

Published : 2022-12-06


LEGACY TRADES

Published : 2022-12-06


Judgment - Eric T. Landis, et al.

Published : 2022-12-06


SEC Complaint; - Eric T. Landis, et al.

Published : 2022-12-06


Eric T. Landis, et al.

Published : 2022-12-06


United States: SEC Throws a Flag on the Red Flags Rule

Published : 2022-12-06


B17706-22 Section 3 (c) (7) restrictions for owners of the following issue: Reign Exchange Ltd. / Reign Exchange LLC Securities

Published : 2022-12-06


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

Published : 2022-12-06


Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of Short Term Option Series

Published : 2022-12-06


Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule

Published : 2022-12-06


Proposed Collection; Comment Request; Extension: Rule 19b-5 and Form PILOT

Published : 2022-12-06


Proposed Collection; Comment Request; Extension: Regulation SBSR

Published : 2022-12-06


Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Granting Approval of a Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled Nasdaq 100 Micro Index Options That Expire on Tuesday or Thursday Under Its Nonstandard Expirations Pilot Program

Published : 2022-12-06


Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of Short Term Option Series

Published : 2022-12-06


Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of Short Term Option Series

Published : 2022-12-06


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