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Regulation news

US court vacates SEC Dealer Rule


22 November 2024 US
Reporter: Daniel Tison

On the grounds that it exceeds the regulator’s statutory authority, a district court in Texas decided to vacate the final rule entirely
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SEC postpones FINRA’s Rule 6500 SLATE again


29 October 2024 US
Reporter: Carmella Haswell

After previously extending the time period to reach its decision, the SEC has now filed a notice of designation of longer period for commission action on proceedings to determine whether to adopt the FINRA Rule 6500 Series
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Leading the Way

Global Securities Finance News and Commentary