Category: Exchange Rules

SEC Expands Oversight with New Rules for Market Participants Acting as “Dealers” or “Government Securities Dealers”
  • Admin
  • Mar 21, 2024
The Securities and Exchange Commission (SEC) has taken a significant step in enhancing market integrity and transparency by introducing two new rules that mandate market participants undertaking key l....
SEC Issues Additional Guidance Through New C&DI On The Use Of Universal Proxy Cards
  • Admin
  • Apr 12, 2023
Recently, the Securities and Exchange Commission (SEC) adopted new, final rules that provide new guidance for parties during a contested election. Now, the SEC requires all parties to use universal pr....
SEC Finalizes Rules to Reduce Risks in Clearance and Settlement
  • Admin
  • Mar 20, 2023
The Securities and Exchange Commission (SEC) has been working to enhance protections for investors and improve the operations of capital markets, and it recently announced that it had adopted rules to....
7 Danger Signs a Stock Might Be Getting De-Listed
  • Admin
  • Jun 02, 2022
For a company to be traded on any of the major stock exchanges, they need to apply for listing. If a company is accepted, then its shares will be listed for sale on the stock exchange. The process doe....