SEC Rule 10c-1A
-
Court sends SEC short-selling rules back for review
An appeals court upheld the SEC’s authority to tighten oversight of short-selling, but ordered the regulator to re-do its cost–benefit sums.
-
FINRA Annual 2025: Modernizing rules and empowering compliance
The 2025 FINRA annual conference kicked off with reminders of the SRO’s accomplishments and mission, but the tone was muted.