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SEC Staff to Hold Investor Advisory Committee Meeting
December 4, 2023 4:17 pm – The SEC’s Investor Advisory Committee will hold an open meeting via webcast on sec.gov on December 7, 2023. [...]
SEC Approves Rules to Enhance Clearing Agency Governance and Reduce Conflicts of Interest
December 1, 2023 11:53 am – The SEC has adopted rules to improve the governance of SEC-registered clearing agencies by mitigating conflicts of interest that may influence the board of directors or equivalent governing body. [...]
SEC, MSRB, FINRA to Co-Sponsor Compliance Outreach for Municipal Market Professionals
November 28, 2023 7:00 am – The SEC, the MSRB, and FINRA will host a Compliance Outreach Program on December 7, 2023. [...]