Our in-brief roundup of notable stories from the last week.
SEC Rule 17a-1
Requires securities exchanges and other listed organizations to keep and preserve at least one copy of all documents made or received by in the course of business as such as well as in connection with the conduct of its self-regulatory activity.
Rule Overview
Jurisdiction: United States
Regulator: SEC
Topic: Recordkeeping
ECFR Title 17 Chapter II Part 240 Subpart A Section 240.17a-1Overview
Latest News
Latest News
A standardized annual review that does not account for the adviser's actual activities, conflicts, and regulatory risks may fail to identify the types of issues highlighted by the SEC.
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A new SEC-FDA information-sharing agreement could accelerate probes into disclosures, insider trading claims, and regulatory statements.
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With the CLARITY Act blocked, the Commission is granting temporary and conditional exemptive relief for on-chain securities trading.
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Discussion on the shift to extended hours trading, from the operational to security and surveillance challenges, plus investor and market opportunities.
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SEC approves FINRA’s overhaul of OBA rules, easing oversight of low-risk side jobs while preserving scrutiny of investment activities.
Our in-brief roundup of notable stories from the last week.
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The SEC proposed to end its oversight of corporate shareholder proposals on topics like carbon emissions and executive pay.