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The SEC has released its semiannual regulatory agenda, which includes 23 proposed rules and 29 final rules. Read on for details.
Market abuse regulation (Mar) requires financial services firms to detect potential market abuse across a broad range of markets and financial instruments.
This paper provides an overview of key proposals and final rules issued by the SEC from October to December 15, 2022.
The SEC has extended the deadline once again for broker-dealer quotation rules for fixed income securities. Read on for details.
The ruling on 340B reimbursement rate in the 2022 OPPS Rule may impact providers participating in APMs.
Brush up on the SEC’s final rule modernizing broker-dealer electronic record-keeping requirements.
FORVIS offers four core tenets of data lineage and control measures through the data lifecycle. These core tenets can be executed with the assistance of technologies such as Wdata by Workiva. Read on here.
The SEC wants to expand central clearing for U.S. Treasury securities, which could significantly impact settlement for hedge funds and principal trading firms.
SEC Rule 613, the Consolidated Audit Trail (CAT), requires U.S. broker-dealers to report their equity and option order life cycle information to a central repository. Read on for more details.
Securities and Exchange Commission (SEC) Rule 17a-4 (the Rule) specifies the retention period that certain records must be preserved, along with the acceptable format or medium for retaining these records.