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Securities Regulation & Law Report™

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Print and web notification formats are issued and available weekly. Print current reports are indexed quarterly, cumulating annually. Web current reports are archived to 2/02/1996. E-mail summaries, providing the highlights and table of contents for each report, with links to full-text articles and documents, are available for all web subscribers.

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  • Antifraud
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  • Dodd-Frank
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  • Enforcement activities
  • Financial statement preparers
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July 28, 2014
  • SEC Takes Aim at Money-Market Fund Runs As It Approves Rules Allowing Floating Prices
  • Corporate Community, Municipalities Pan SEC's Money Market Fund Reform Measures
  • Set of Guidance Simplifies Tax Compliance With SEC Changes to Money Market Funds
  • Panel: Adoption of Money Fund Reforms Will Trigger Need for Extensive Changes
  • Dueling Reports From House Staffers Mark Dodd-Frank's Fourth Anniversary
  • Litigation Reform Through Bylaws So Far a Success Story, Panelist Says
  • Bipartisan House Bill Would Have FSOC Give More Notice Throughout SIFI Process
  • SEC's Corp. Finance Head Takes Heat For Agency's Granting of WKSI Waivers
  • Frank Sees Uncertainty on Namesake Law, Blames Republicans on SEC, CFTC Funding
  • Issa Wants DOJ Documents on Strategy In JPM, Citi Settlements on MBS Charges
  • Court Allows Appeal to 8th Cir. On Dodd-Frank Definition of ‘Whistle-Blower’
  • Whistle-Blower Advocates Ask SEC To Address Employer Retaliation, Work Pacts
  • Cert Petitions Filed By Plastics Exec, Hedge Fund Founder
  • Fla. Finance Prof to Succeed Craig Lewis as Head of DERA
  • SEC Signs Off on FINRA Arbitration Rule Barring Expungement-Based Settlements
  • MSRB Creates Market Structure Group, Hires Chief Economist for Economic Analysis
  • MSRB Issues Revised Proposal On Core Duties for Muni Advisors
  • Former Qualcomm Executive Pleads Guilty to Insider Trading
  • Renaissance's Brown Says Risk Controls Led to Scrutinized Trades
  • Labor-Sponsored Resolutions See Significant Fall in 2014, New Report Says
  • Poll Shows Dark Pools, High-Frequency Traders Disfavored by Most
  • New Poll Finds Americans Still Want Tough Wall Street Regulation, Enforcement
  • Argentina Bond Judge Orders Talks in Effort to Avoid Default
  • ESMA Says Methods of Rating Sovereign Debt Are Flawed
  • Morgan Stanley to Pay $275M For Misleading Investors About RMBS
  • Mcgraw Hill Falls Most In Three Months Following Wells Notice
  • Ex-Merrill Chief Steffens Cleared by Jury Over Madoff Losses
  • Court Denies SEC Bid For Injunction Against Inside Trader
  • Ex-Jefferies Managing Director Litvak Gets Two-Years Over MBS-Related Fraud
  • BATS Exchange President Resigns
  • MSRB Files Muni Advisor Supervisory Rule With SEC
  • Investor Relations Executive Settles Insider Allegation
  • 6th Cir. Affirms Lawyer's, Oil Man's Convictions
  • Ex-Banco Santander Exec Settles SEC Insider Suit
  • The ABC's of CFTC Enforcement Actions
  • More FCPA Cases in Pipeline, Brockmeyer Says; Some Administrative
  • SEC Outsider, Invoking Ghosts Of 2008, Pushes White to Toughen Up
  • Successes, Remaining Challenges Debated On Anniversary of Dodd-Frank Enactment
  • Prosecutors Didn't Have Strong Case Against Younger Rajaratnam, Lawyers Say
  • U.K. Prosecutors Open Foreign-Exchange Rigging Investigation
  • Global Watchdogs Seek End To Tainted Benchmark Guessing-Game
  • Banks Face Accounting-Rule Overhaul To Prevent Resurgence of Fire Sales
  • Hedge Fund Managers Facing Delays Over New Rules, AIMA Says
  • Wal-Mart Must Turn Over Documents, Delaware High Court Adopts ‘Garner' Doctrine
  • NASAA Continues Strong Lobbying Effort On SEC's Regulation A Plus Proposal
  • Barclays Seeks Dismissal Of New York's Dark Pool Lawsuit
  • O'Malia Resigns CFTC To Lead Swaps Industry Trade Group
  • CFTC Staffer Says Agency Moving Ahead Towards Action on Automated Trading
  • CFTC Recommends ICE Futures Implement Staff, Hedge Exemption Changes
  • ISDA Says MAT Determinations Have Exacerbated Swaps Fragmentation
  • Former Commissioner Sommers Joins Allston Board
  • CFTC Grants Relief From Reporting on Ownership
  • FIA Board Elects R.J. O'Brien's Corcoran Chairman
  • MFA Seeks Clarity on CPO Registration
  • Fraud Suit Against Deloitte Over China Audits Falls to Scienter Challenge
  • For Second Time, SEC Denies Request By Former Dell CFO to Modify Industry Bar
  • SEC Grants Canadian Mining Co. Relief From ‘34 Act Prompt Payment Requirement
  • Gross Collection of Margins for Omnibus Accounts/Information Collection
  • BATS/Alpha Architect ETF
  • FINRA/Examination Waivers
July 21, 2014
  • Stanford Losses Not Covered By SIPC, D.C. Circuit Concludes
  • House Clears Bill to Fund SEC at $1.4B, Measure Includes Restrictions on Agency
  • House Bill for SEC Investment Adviser Exams Garners Republican Cosponsor in Bachus
  • Bills Coming on Too Big to Fail, Federal Reserve Oversight, Hensarling Says
  • Waters Asks Republican Majority To Bolster SEC's Oversight of Advisers
  • SEC Slates July 23 Meeting To Vote on Money Fund Reforms
  • Financial Sector Must Beef Up Cyber Defenses, Treasury's Lew Says
  • Cyber Risks Not Adequately Assessed During Acquisition Deals, Survey Says
  • Lew Confronted Over Effect Of Volcker Rule as Bond Inventories Fall
  • McHenry Says Crowdfunding Markup Delayed For Extra Support, Rips Choke Point, Senate
  • Senators Rip SIPC for Favoring Wall Street, Urge White House for Pro-Investor Nominees
  • Citing Conflicts, Levin Asks SEC for End To Maker-Taker, Payment for Order Flow
  • Equal Data, Reduced Maker-Taker Fees Among SIFMA's Market Structure Proposals
  • Madoff Sons Deleted E-Mails, Hindered SEC Probe, Trustee Says
  • Secrecy of ‘Too Big to Fail’ Panel Targeted By Bipartisan Bill Calling for Early SIFI Notice
  • SEC Says Insider Trading Probe Of House Panel Involves 44 Funds, Entities
  • Citing Influence of Banking Regulators, Piwowar Wants Bigger SEC Voice in FSOC
  • SEC Dodd-Frank Rulemaking Must Stand Test of Time, Chair Says
  • Piwowar: SEC Still Debating Final Parameters of Money Fund Reforms
  • SEC's Gallagher Adds to FSOC Criticism, Supports Bill for Increased Transparency
  • Yellen Says Fed Won't Rule Out Broker Support in Banking Crisis
  • Sen. Casey Asks SEC to Consider Risks Of Chinese IPOs for American Investors
  • Senators Ask Treasury for Tax Guidance On Effect of SEC Money Market Fund Rules
  • Republicans Slam Operation Choke Point; DOJ Official Backs Its Targeted Nature
  • Critics Attack DOJ Settlement With Citigroup; Say Deal Reaffirms ‘Too Big to Jail' Policy
  • Citigroup to Pay $7 Billion To Settle Mortgage-Bond Probe
  • Agencies Urge IOSCO to Maintain ‘Opinion’ in Definition of Credit Ratings
  • SEC Staff Allows FedEx to Omit Proposal on NFL Team Name Controversy
  • FINRA Establishes Task Force To Mull Improvements to Arbitration Forum
  • Former Alstom Executive Pleads Guilty in Indonesian Bribe Scheme
  • Rajat Gupta Loses Bid For Rehearing by Second Circuit
  • Houston American Energy Investors Get Second Chance as Fraud Claims Remanded
  • KCG Sees Costs in SEC Plan To Increase Trading of Small Cap Stocks
  • Friend of Corporate Exec Tipped Golf Buddies to Inside Information, SEC Says
  • Lions Gate Sued Over Failure to Disclose SEC Probe of Deals to Thwart Takeover Bid
  • Former N.M. Governor Settles Claims Over Scheme Involving Microcap Company
  • Prosecutor, SEC File Charges In Alleged Microcap Fraud; FBI Aided in Case
  • Bond Fee Disclosures Sought by SEC To End 38-Year Debate Over Transparency
  • MSRB Issues Long-Awaited Report On Secondary Trading in Muni Market
  • SEC Staff Study Shows High Rate Of Custom Tagging by Smaller Filers
  • Voters Think Stock Market Favors Insiders, Government Bad at Regulation, Poll Says
  • 2d Cir. Affirms Sperlings Not Liable In Short-Swing Suit Over Forward Contracts
  • S.D.N.Y. Rejects Derivative Suit Against JPM For Not Making Presuit Demand on Board
  • Court Absolves Wylys In Insider Suit Over 1999 Equity Swaps
  • Omniview Capital CEO Charged in Stock Manipulation Case
  • Ill. Man, Advisory Firm Must Pay $1.6M for Microcap Investment Scheme
  • SEC Suit Against Rengan Rajaratnam Stayed
  • Hearings Announced on Dodd-Frank, SEC's Corp Fin
  • Blass to Leave SEC for ICI
  • David Becker Named Och-Ziff CLO, CCO
  • Eight Propositions Regarding the Scope of Halliburton II
  • CLO Industry, Warning of Economic Damage, Braces for Completion of Risk Retention Rule
  • Europe Agency Issues Guidelines For Regulators on Enforcing Disclosure Rules
  • EU Proprietary-Trading Ban Plan Faces National Opposition
  • Delaware Court Dismisses Derivative Suit Over Expedia CEO's Compensation Award
  • Fact Issues Bar Dismissal of Wash. Claims Over Supervision of Rep's Outside Activities
  • Senators Introduce Bipartisan Legislation Giving FCM Customers More Time for Margin
  • O'Malia Surprised by Quick Exodus Of Markets to Europe in Wake of Dodd-Frank
  • O'Malia Concerned Global Disharmony Fragmenting Markets, Harming Liquidity
  • ISDA, SIFMA Seek Margin Exclusion In Europe for Certain Non-E.U. Entities
  • NFA Proposes Increasing CPO/CTA Representation
  • ESMA Seeks Comment on Mandatory Clearing
  • CFTC Corrects 2012 SD Risk-Management Rule
  • E&Y to Pay $4M to Settle SEC Claims It Violated Auditor Independence Rules
  • Healthcare Audit Director Must Face Criminal Insider Charges
  • Medical Device Concern Dodges Investor Suit Over Growth Projections
  • CFTC/Swap Dealers and Major Swap Participants
  • CBOE/AIM and FLEX AIM Pilot Programs
July 14, 2014
  • Rengan Rajaratnam Cleared of Conspiracy In U.S. First Loss in Insider Trading Cases
  • ‘Five or Six' SEC Rulemakings Coming To Implement Market Structure Overhaul
  • Exchange Heads, Traders Support Changes To Market Structure for Improved Fairness
  • Few Details From SEC Chair White On Potential Broker-Dealer Fiduciary Rules
  • SEC May Act Soon on Proposed Fees, Floating Price for Risky Money Funds
  • SEC Enforcers Not Open to Changes In Cooperation Initiative for Muni Issuers
  • In Latest FSOC Investigation Move, Garrett Questions Role of New York Fed
  • Ways & Means Committee Claims Immunity From SEC Subpoenas in Insider Trading Case
  • Treasury Report Suggests Reverse Repos, Better Metrics to Monitor Shadow Banking
  • Bond Anxiety Felt in $1.6 Trillion Repo Market as Uncompleted Trades Soar
  • SLUSA Doesn't Bar Class Suit By PR Fund Investors, 1st Cir. Concludes
  • FINRA Presses Broker-Dealers On Strategies for Routing Client Orders
  • Madoff Trustee Can't Sue Over Foreign Transfers, Rules
  • U.S. Overreached in JPMorgan Accord, Better Markets Argues in Opposition Brief
  • Oil Services Execs Settle FCPA Suit Just Days Before Trial to Start
  • Court Tosses Investor Suit Against Pfizer, Execs Over Drug Trials
  • On Virtual Currency, FATF Recommends Consistent Terms, Thorough Risk Analysis
  • Former Broker Loses Bid for Removal Of ‘97 Disciplinary Notice From BrokerCheck
  • SEC Seeks Documents From Biomet Related to Company's Overseas Operations
  • SEC Assures Lawmaker of Scrutiny In Any Potential Allergan-Valeant Deal
  • Waters Accuses Republicans of Run-Around, Using Appropriations for Legislative Changes
  • School District Settles Municipal Bond Case; Is First Agreement Under New SEC Initiative
  • Carter's Execs, Fund Manager Handed Prison Terms Over Roles in Insider Scheme
  • Senate Confirms Dechert's Krause to 3rd Cir.
  • SEC Names Staffer Associate Director in Denver
  • Senate Panel to Hold Hearing on SIFIs
  • Most in FSI Survey Say Republicans Will Take Senate
  • FINRA Proposes to Redefine ‘Hearing Officer'
  • SEC Extends FINRA Pilot on Margins for Swap Deals
  • FINRA Proposes Database of Form 211 Data
  • Attacked Again, Basic Survives
  • Private Equity Management of Fees and Expenses: A Cautionary Tale
  • RBS Asked to Hand Over Details of FSA, SEC Probes in Investor Suit Over Disclosures
  • U.K. FCA Says Number Of Suspected Insider-Trading Cases Declined
  • Canada Adds Two More Provinces To Proposed Joint Securities Regulator
  • Alaska Securities Act Doesn't Bar Suit to Cancel Fundraising Contract
  • Banks Racing to Pare Swaps Holdings Ahead of Rules, Goldman Executive Says
  • ISDA, SIFMA Urge CFTC to Forego Position Limits Until Cause Can Be Shown
  • Paper: Clearinghouse Concentration A Component in Systemic Risk Reduction
  • SIFMA Group Says JAC Alert Could Harm Institutional Investors, Asset Managers
  • Utility Groups Tell CFTC They Support Proposal Aimed at Helping Swaps Liquidity
  • CFTC's Giancarlo Adds Two to Senior Staff
  • CFTC Wants FCM Risk Plans by July 14
  • FCMs Given Until 10/17 to Obtain Depository Letters
  • Reduced Fee on Futures, Options Effective 10/1
  • ICE Clear Europe Seeks to Amend Commingling Order
  • Scienter Pleading Flaws Fatal To Investor Suit Against Energy Execs
  • State Street to Pay $60 Million To Settle Investor Claims It Inflated Revenue
  • MFG Administrator's Suit Against PwC Survives ‘in Pari Delicto’ Dismissal Challenge
  • Former PwC Auditor Fined $50K For Ignoring ArthroCare Red Flags
  • Oshkosh Granted Reporting Relief For Reorg Into Holding Company Structure
  • Whistleblower Information/Information Collection
  • Duncan Family Office/Application for Exemption
  • BNP Paribas SA/Notice of Application and Temporary Order
  • NYSE and NYSE MKT/Institutional Liquidity Pilot Program
  • Listing
July 07, 2014
  • Obama Decries Trader Bonuses As Risky, Even After Dodd-Frank
  • White House: No ‘Specific Plan' From Obama On Bank Culture; HFT ‘Should Be Addressed'
  • High Court Won't Review Rulings Involving Madoff, Picard, U.K.-Based Fund Adviser
  • Justices Reject Plea by AIG Investors To Hear Appeal Against New York Fed
  • Banking Committee's July 8 Hearing Will Be Senate's Third in a Month on HFT
  • SEC Investor Advocate Calls on Congress For Funds to Bolster Agency's Adviser Exams
  • SEC Staff Issues Guidance on Proxy Advisers; Critics Say Release Doesn't Go Far Enough
  • SEC Division Issues Guidance On Verifying Reg D ‘Accredited Investor’
  • Rengan Rajaratnam Judge Refuses To Dismiss Only Remaining Charge
  • Halliburton Will Increase Costs, Require More Analysis at Certification, Lawyers Say
  • Tone at the Top Key Risk Indicator For FINRA, Chief Risk Officer Says
  • Amidst Heightened Scrutiny, Alt Funds Should Review Valuation, Liquidity, Leverage
  • Variable Annuity Providers Should Review SEC Staff Guidance on Fund Use of Swaps
  • Fraud Suit Over Failed Cancer Treatment Survives Materiality, Scienter Challenges
  • Group Finds Losing Directors Remain In Office; Calls for New SEC Disclosure Rules
  • Hacked Companies Face SEC Scrutiny Over Adequacy of Risk Disclosure, Controls
  • Brokers' Assistant Absolved Over Role in ‘Squawk Box’ Controversy
  • Pharm Firm Had Duty to Disclose Ongoing Merger Talks, 11th Cir. Affirms
  • Traders to Pay $750K Over Alleged Rule 105 Short-Sale Violations
  • Goldman to Pay $800k Over Faulty Trade-Through Policies
  • SEC Gets Order Against Attorney, Others For Unregistered Stock Distribution Scheme
  • Blackrock Gets Wells Notice From SEC on Rice's Energy Dealings
  • SEC Adds Judges, Lawyers to ALJ Office
  • SEC Names Staffer to OHR Deputy Post
  • SEC Division Issues Guidance for BDCs
  • SEC OKs FINRA Rule Change on Communications
  • FINRA Board to Mull Two Rulemaking Items
  • FINRA Files Proposal to Narrow ‘Public' Arbitrators
  • Consolidated Audit Trail Bidders Reduced to Six
  • Broker Barred for Misusing Inside Information
  • FINRA Makes Data Available on Rule 144A Deals
  • Trends in M&A Provisions: Stand-Alone Indemnities
  • NASAA Seeks Input On Proposed Form D Model Rule
  • FINRA Arbitration Referral Proposal Could Impose Costs, Delays, NASAA Says
  • ARS Investors Didn't Raise La. Law Issue
  • Wall Street Defends Steps to Shield Overseas Swap Trading From U.S. Regulation
  • Gas Supply Association Tells CFTC To Maintain Hedging Chances in Limits Rule
  • Bill Directs CFTC to Act on Oil Speculation
  • SDs, MSPs Get Extended Reporting Relief
  • NFA Reminds SDs, MSPs of CCO Responsibilities
  • CPA Firm Agrees to Be Barred From Auditing PRC-Based Issuers
  • 11th Cir. Reissues Decision Interpreting Janus
  • KPMG Execs Sanctioned Over Bank Audit
  • CFTC/Position Limits for Derivatives and Aggregation of Positions
  • ISE/Market Maker Risk Management
  • FINRA/Member Recruitment Disclosure, Reporting Requirements
  • ISE/Short-Term Option Series
  • SEC/Tick Size Pilot Plan
  • Phlx/Fee Schedule
  • CME/Over-the-Counter Interest Rate Swaps Fee Schedule
  • NYSE MKT/Fee Schedule
  • NSCC/Licensing and Appointments Service
  • ISE Gemini/Erroneous Trades
  • ISE/Erroneous Trades
  • Deregistration of Investment Companies
June 30, 2014
  • ‘Halliburton' Court Strikes Middle Ground In Dispute Over ‘Basic' Reliance Presumption
  • High Court's Halliburton Ruling Sets Stage For Key Litigation Battles Ahead, Panel Says
  • SEC Extends Curbs on Swaps Overseas, But Some Members Warn of Loopholes
  • In SEC Pilot, Exchanges To Test Curbs on Dark Trading
  • House Lawmakers Back SEC's Pilot Program To Widen Tick Sizes for Small-Cap Stocks
  • House Committee Approves $1.4B for SEC, Teeing Up Conflict With Senate on Funding
  • Senate Appropriations Bill Would Fully Fund SEC, CFTC
  • Ways and Means, Aide Win Short Delay In SEC's Insider Trading Investigation
  • Diligent Directors Should Not Fear SEC Enforcement Action, Chair Says
  • SEC Chair White Calls For More Public Data About Bond Prices
  • SEC's Markets Head Says Some Dark Pools Give Small Investors Good Order Execution
  • SEC's Aguilar Urges Pension Funds To Take Active Role in Corporate Governance
  • Lew Defends FSOC on Republican Critiques Of No Transparency, Eagerness to Regulate
  • FSOC's Lew Sees Significant Drop In Big Banks' Market Advantage Due to Size
  • AG Holder: DOJ's Operation Choke Point To Continue Targeting Banks That Abet Fraud
  • SEC Division Issues Guidance On Summary Prospectuses, Custody Rule
  • SIFMA Offers Firms Guidance For Verifying ‘Accredited Investor’ Status
  • In SEC Order, SAC Capital Agrees To Wind Down Investment Adviser Business
  • PwC, Citco Lose Bid to Upset Settlement Over Madoff Feeder Funds
  • Stockbrokers Charged by SEC, DOJ With Insider Trading on IBM Takeover News
  • Furor Over NFL Team Name Reaches SEC in Form of Shareholder Resolution
  • FINRA Disciplined 1,535 Firms, Individuals In 2013; Imposed More Than $60M in Fines
  • FINRA Drops Controversial Proposal On Recruitment Pay With Plans to Revise
  • GAO Calls on Commerce Department For Plan on Conflict Minerals Processor List
  • Goldman Fails to Dislodge Shareholder Suit Over CDO Deals
  • Smith & Wesson FCPA Probe Closed by DOJ; Firm Says Settlement of SEC Claims Near
  • SEC Halts Bond Offering In Alleged Fraud by Chicago Suburb
  • HP, Hurd Dodge Investor Claims Over Failure to Comply With Ethics Code
  • Ex-Millennium Fund Manager Sentenced To Four Years for Sovereign Debt Fraud
  • Different Industries Seeing Different Trends In Conflict Mineral Disclosures, Panelist Says
  • Argentina Bond Fight Judge Refuses to Delay Payment Ruling
  • Storch Stepping Down as Enforcement Division COO
  • OIA Official Aronow to Leave SEC
  • Prosecutor Reisner to Join Paul Weiss
  • SEC Proposes Rule Changes on FOIA Fees, Appeals
  • 2d Cir. Clears Merrill Over ARS Sales
  • SEC Investor Committee to Mull ‘Accredited Investor’
  • FINRA Sanctions B-D, CEO for Promissory Note Sales
  • No Jail Time for Credit Suisse Exec in Bond Scheme
  • Proposed DGCL Amendments to Limit Delaware Supreme Court's Holding in ‘ATP Tour'
  • Dark Pool Greed Spurred Barclays To Lie to Investors, N.Y. AG Says
  • Delaware Legislature Won't Vote on Ban On Fee-Shifting Bylaws Before January
  • Minority Shareholder Handed Setback In Dispute Over Control of Texas Corporation
  • J&J Gets Summary Judgment In N.J. Derivative Suit Over Ex-CEO's Pay
  • Tenn. Court Revives Arbitration Award for Brokerage
  • House Passes CFTC Reauthorization Bill Addressing End-User, FCM Deposit Protection
  • NFA Proposes Banning Credit Cards To Fund Retail Forex, Futures Accounts
  • CFTC Extends Relief for LCH Addressing SEF, Futures/Options Clearing
  • Commodity Firms Urge Staff to Revisit Hedging Portions of Position Limits Proposal
  • Lowe Named Principal Deputy Enforcement Director
  • Comment Period on Spec Limits Proposal Extended
  • FCMs Gain Extended Staff Relief
  • Paper: Electronic Market Makers Exit First
  • Korea Exchange Gains Registration Relief
  • Parmalat's U.S. Suits Against Grant Thornton Reinstated by 7th Cir
  • Ex-Madoff Accountant Konigsberg Pleads Guilty to Aiding in Massive Fraud
  • SEC Sues Former Regions Managers, Enters Into DPA With Regions Financial
  • Oil and Gas Concern Dodges Claims It Misstated Control, Accounting Problems
  • FASB Narrows Research on Financial Statements
  • SEC Grants Aegon, Subsidiary Relief From Ineligible Issuer Status
  • BX/Exercise Limits
  • NASDAQ/Exercise Limits
  • MIAX/Fee Dispute Provisions
  • Broker-Dealer Registration Withdrawal
  • Investment Adviser Registration Withdrawal
  • MSRB/Limited Representative
  • CME/OTC FX Fee Waiver Program
  • ICE Clear Europe/Permitted Cover
  • MIAX/Price Improvement and Solicitation Auctions
  • ICC/Clearance of Additional Noninvestment Grade Instruments
  • BATS/Clearly Erroneous Executions
  • DTC/New Issue Information Dissemination System
  • EDGX/Mid-Point Discretionary Orders
  • NASDAQ/Opening Cross Contingency
  • OCX/Reporting, Sales and Enforcement of Securities Laws
  • FINRA/Inventory Positions
  • Dodd-Frank Investor Advisory Committee
  • Phlx/Open Outcry Trading
  • FOIA Requests
  • Dodd-Frank Investor Advisory Committee
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