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SEC Approves Amendments to the Codes of Arbitration Procedure to Increase Arbitrator Honoraria by Increasing Arbitration Filing Fees, Member Surcharges and Process Fees and Hearing Session Fees
August 2010 Supplement to the Security Futures Risk Disclosure Statement
Asset-Backed Securities Transaction Reporting Pilot Program Expires November 18, 2011
SEC Approves Amendments to Require Firms to Add a No-Remuneration Indicator in TRACE Trade Report
Revised Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session
Once retired, you may have questions about the future—particularly about how your spouse and family will cope financially if you become disabled or die and what will happen to the assets in your estate after your death. These valid concerns underscore the importance of sound long-term retirement planning.
In coordination with the SEC and the CFTC, we are conducting a review of the impact of Hurricane Sandy on firms’ operations and their ability to conduct business at a time when business continuity plans were enacted.
SEC Approves Amended Minimum Quotation Sizes for OTC Equity Securities on a Pilot Basis
Submission of PAIB Computation in FOCUS Filings; Reporting INSITE Data
