Tag: broker_dealers

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