Tag: Proposed Rules

Rules and more rules. The Commission seems to continually be proposing new rules. This is not to say that new rules, or at least updated rules, are not needed in many areas. The agency under Chair Gary Gensler, however, seems …

SEC Proposes Rules for Clearing Agencies Read More »

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The Commission proposed a package of rules and interpretations focused on retail investors. At the center of the package is proposed Regulation Best Choice focused on the relation between brokers and their clients. The agency brought another action against an …

This Week In Securities Litigation (Week ending April 20, 2018) Read More »

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