JD Supra2y
No-Action Letter Regarding Definition of "Ready Market" with Regard to Foreign Equity Securities Pursuant to SEC Rule 15c3-1(c)(11)(i)
Currently, under Securities and Exchange Commission Rule 15c3-1 (the Net Capital Rule), broker-dealers may treat equity securities of a foreign issuer that are listed on the FTSE World Index as ...
USA Today24d
Musk has until Monday to respond to SEC Twitter settlement, source says
NEW YORK – The U.S. Securities and Exchange Commission has given Elon Musk until ... Musk on Thursday posted on X a copy of a letter sent by his lawyer to SEC Chair Gary Gensler saying the ...
New York Post26d
Nasdaq blocked from imposing board diversity rules for companies on exchange
The New Orleans-based 5th US Circuit Court of Appeals on a 9-8 vote sided with two conservative advocacy groups in finding that the rules approved by the Securities and Exchange Commission ran ...