Tag: broker_dealers

SEC Grants Exemptive Relief from Treasury Clearing Rules for Inter-Affiliate and Non-U.S. Repo Transactions

30 Oct 2026 3:42 p.m.

The SEC has issued exemptive relief covering inter-affiliate repo and certain non-U.S. repo transactions, aiming to help broker-dealers and other market participants move toward central clearing of U.S. Treasury securities.

Business Politics and Government Financial Markets Banking Federal Government Legal Securities and Exchange Commission Treasury clearing repo transactions exemptive relief broker-dealers U.S. Treasury securities
SEC Staff Issues Statement on Affiliations Between National Securities Exchanges and Broker-Dealers

30 Sep 2026 3:31 p.m.

The SEC's Division of Trading and Markets has published a staff statement addressing affiliations between national securities exchanges and broker-dealers, posted to the agency's speeches and statements page.

Business Politics and Government USA Financial Markets Federal Government Legal Securities and Exchange Commission Division of Trading and Markets National Securities Exchanges Broker-Dealers Staff Statement Financial Regulation
SEC Proposes New E-Delivery Rule for Enhanced Investor Access

16 Jul 2026 9:02 a.m.

The SEC has proposed Regulation E-Delivery to expand electronic information delivery for issuers, broker-dealers, and investment advisers. This new rule aims to make financial information more accessible and useful for investors, modernizing communication in the financial sector.

Politics and Government Business Federal Government Economy Financial Markets Legal SEC Regulation E-Delivery Electronic Delivery Investors Financial Information Broker-dealers Investment Advisers