Breaking: SEC Enhances Oversight with Broker-Dealer Rule Amendments
The Securities and Exchange Commission (SEC) is taking a bold step forward, adopting rule amendments targeting broker-dealers. Gary Gensler, SEC Chair, stated, “Some broker-dealers rely on outdated exemptions, creating a regulatory gap.” Consequently, there’s been a surge in firms with monthly trading volumes in the hundreds of billions, exempted from proper oversight. However, these new
The post Breaking: SEC Enhances Oversight with Broker-Dealer Rule Amendments appeared first on CoinGape.
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Breaking: SEC Enhances Oversight with Broker-Dealer Rule Amendments
The Securities and Exchange Commission (SEC) is taking a bold step forward, adopting rule amendments targeting broker-dealers. Gary Gensler, SEC Chair, stated, “Some broker-dealers rely on outdated exemptions, creating a regulatory gap.” Consequently, there’s been a surge in firms with monthly trading volumes in the hundreds of billions, exempted from proper oversight. However, these new
The post Breaking: SEC Enhances Oversight with Broker-Dealer Rule Amendments appeared first on CoinGape.
Read More
US Lawmakers Blast SEC Oversight as Vanished Gensler Data Rattles Enforcement Trust