Washington DC SEC exams to focus on MAs, T+1 settlement cycle in FY 2025 By Connor Hussey October 22, 2024, 10:25 a.m. EDT 3 Min Read ...

As an SEC-registered broker-dealer, Thrivent is subject to Regulation Best Interest’s obligation to exercise reasonable diligence, care, and skill to have a reasonable basis that a recommended ...

XRP approaches potential SEC settlement resolution as both parties work toward finalizing agreements that could reduce Ripple’s penalty to $50 million from the original $125 million demand.

Nigeria’s apex capital market regulator, Securities and Exchange Commission (SEC), had indicated plan to cut down the settlement cycle from four days to three days, with effect from November 28 ...