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The Securities and Exchange Commission today proposed amendments that would update the disclosure required under Rule 605 of Regulation NMS for order executions in national market system stocks, which are stocks listed on a national securities exchange.…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
SEC Proposes Rules to Amend Minimum Pricing Increments and Access Fee Caps and to Enhance the Transparency of Better Priced Orders
The Securities and Exchange Commission today proposed to amend certain rules under Regulation NMS to adopt variable minimum pricing increments, or “tick sizes,” for the quoting and trading of NMS stocks, reduce access fee caps for protected quotations,…
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The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation issued its 2022 Annual Report to Congress and the Commission. The report details how entrepreneurs and investors are building companies together,…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
SEC Small Business Advocacy Office Releases Annual Report on Capital Raising
The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation issued its 2022 Annual Report to Congress and the Commission. The report details how entrepreneurs and investors are building companies together,…
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Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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The Securities and Exchange Commission today proposed to amend certain rules under Regulation NMS to adopt variable minimum pricing increments, or “tick sizes,” for the quoting and trading of NMS stocks, reduce access fee caps for protected quotations,…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
SEC Proposes Rule to Enhance Competition for Individual Investor Order Execution
The Securities and Exchange Commission today proposed a rule that would require certain orders of individual investors to be exposed to competition in fair and open auctions before such orders could be executed internally by any trading center that…
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Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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The Securities and Exchange Commission today proposed a rule that would require certain orders of individual investors to be exposed to competition in fair and open auctions before such orders could be executed internally by any trading center that…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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SEC Adopts Amendments to Modernize Rule 10b5-1 Insider Trading Plans and Related Disclosures
The Securities and Exchange Commission today adopted amendments to Rule 10b5-1 under the Securities Exchange Act of 1934 and new disclosure requirements to enhance investor protections against insider trading. The amendments include updates to Rule 10b5-…
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Which Comes First, The Recession Or The Layoffs? How Investors Look At Tech Layoffs Right Now
Many people wonder whether recessions or layoffs tend to happen first. The reality is that they both happen around the same time. Here is what you need to know as a working professional and investor.
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