With the January 3, 2023, deadline fast approaching for compliance with Exchange Act Rule 15c2-11, as amended and reinterpreted by the staff of the US Securities and Exchange Commission (“SEC ...

Because the economic risk is the same after the exchange, we argued the holding periods of the two securities should be combined under the rule. The staff agreed with our position that the holding ...

depending on the exchange rules. Once a trade is executed, the CLOB updates the order book by removing the matched orders and adjusting the bid and ask prices accordingly. This process continues ...

Employees at the Securities and Exchange Commission ... but the staff also recommended approving a proposed interpretation of stock trading rules that would enable quotes lodged at IEX to be ...

A proposed rule ... Exchange Commission. During a March 10 speech at the Washington Conference of the Institute of International Bankers, acting SEC Chairman Mark Uyeda said he had “asked SEC ...