Securities and Exchange Commission Content

On February 21, 2025, ICI submitted a letter, to Acting Chairman Mark T. Uyeda of the Securities and Exchange Commission to request that the Commission extend the various compliance dates under the Treasury Clearing Rule, including by a minimum of 24 months (i.e., an extension to at...

In August 2024, the Committee on Rules of Practice and Procedure of the Judicial Conference of the United States proposed amendments to Federal Rule of Appellate Procedure 29, which would alter the procedures (including disclosure requirements) for filing amicus curiae briefs.

On January 16, 2025, the SEC announced that it settled charges against two registered investment advisers (the "Advisers"), for breaching their fiduciary duties by failing to reasonably address known vulnerabilities in their investment models and for related compliance and supervisory...

On September 18, 2024, the SEC, in a unanimous vote, adopted amendments to Regulation NMS that would impact the minimum quoted price increments for NMS securities, the access fee caps that registered securities exchanges could charge, and odd lot transparency.

On December 12, 2024, the Securities and Exchange Commission (SEC) issued an order granting a partial stay to Rules 610 and 612 of the recently adopted Regulation NMS amendments.