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Securities and Exchange Commission (SEC)
Tag: Securities and Exchange Commission (SEC)
TD’s Masrani steps down amid regulatory turmoil; Chun named successor
Lucy Carter
-
September 20, 2024
0
Firms hit with CFTC, SEC recordkeeping and communication failure finesÂ
Alex Pugh
-
August 15, 2024
0
SEC proposes joint data standards
Alex Pugh
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August 7, 2024
0
Row erupts as CBOE seeks to define exchange boundaries
Dan Barnes
-
July 22, 2024
0
Regulatory Round-up June
Alex Pugh
-
June 27, 2024
0
The new GameStop surge: Is this time different?
Alex Pugh
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June 4, 2024
0
Regulatory Round-Up
Alex Pugh
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May 16, 2024
0
Senvest Management hit with $6.5m recordkeeping fine
Alex Pugh
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April 4, 2024
0
SEC issues T+1 risk alertÂ
Alex Pugh
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March 28, 2024
0
FIX EMEA: Why T+1?
Alex Pugh
-
March 12, 2024
0
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