SEC Reg NMS Rule 605

Enforcement

FINRA disciplinary action update 2025/6

February 19, 2025

Disciplinary decisions issued February 8 –14, 2025.

Thomas Hyrkiel2 min read
Enforcement

FINRA disciplinary action update 2024/45

November 27, 2024

Disciplinary decisions issued November 16 – 22, 2024.

Thomas Hyrkiel3 min read
SEC

SEC tables five major rule change announcements

December 15, 2022

Chair Gary Gensler says proposals aim to boost investor and trader protection and enhance opportunity.

Martin Cloake2 min read