A House committee says the SEC should introduce a liquidity rule for clearing brokers and FINRA should establish liquidity planning requirements.
June 28, 2022Brokers will have to send orders from retail investors to "open and transparent" auctions and meet stronger best execution obligations.
June 10, 2022From 10 March 2023, financial markets and participants will have to comply with new technological and operational resilience rules.
March 11, 2022SEC staff concluded that US markets functioned well and dislocations caused by short-selling were not the main cause of the extreme volatility in GameStop.
October 26, 2021Payment-for-order-flow arrangements are already prohibited in Australia. ASIC proposes amendments to address scenarios not currently covered by the rules.
August 26, 2021