SEC Proposes New Rule to Establish Audit Trail; Adopts Municipal Securities Disclosure Changes

The Securities and Exchange Commission May 26 voted unanimously to propose a new rule that would require self-regulatory organizations to establish a central repository of data to…

SEC Publishes Circuit Breaker Proposal, Identifies Possible Causes of May 6 Stock Market Plunge

In response to the May 6 flash crash that shocked equity investors, the Securities and Exchange Commission and the Commodity Futures Trading Commission issued their highly anticipated…

FINRA to Assume NYSER Regulatory Duties; Move Will Enhance Oversight, Officials Say

NYSE Euronext (NYX) and the Financial Industry Regulatory Authority May 4 announced that by the end of June, FINRA will take over New York Stock Exchange Regulation’s market surveillance and…

SEC, CFTC Vow to Make Needed Reforms After Dow Plunge; Lawmakers Want Answers

The Securities and Exchange Commission and the Commodity Futures Trading Commission May 7 vowed to make “whatever structural or other changes” are necessary to ensure that…

SEC Proposes Large Trader Reporting Rule, Changes to Improve Access to Listed Options

The Securities and Exchange Commission April 14 voted unanimously to propose a new rule that would help it identify market participants who trade large blocks of stock and…

SEC Adopts Rule Allowing Temporary Ban on Short Sales During Share Price Declines

A deeply divided Securities and Exchange Commission voted 3-2 Feb. 24 to adopt a rule that would temporarily restrict short selling in a stock when its price falls more than 10 percent in one day…

SEC Proposes Sponsored Access Rule, Issues Concept Release on Market Structure

s part of its ongoing review of market structure issues, the Securities and Exchange Commission Jan. 13 unanimously agreed to propose a new rule under the 1934 Securities Exchange Act that would…

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