The SEC currently has several notable rule proposals that have received public comment but have not yet been finalized. The potential direction ...

The SEC in October 2023 finalized rules to require certain institutional investment managers to report short sale-related ...

For broker dealers who were dreading the full implementation of the Fixed Income Quotation rule, SEC rule 15c2-11, staff once ...

Allarity Therapeutics has reached an agreement in principle with the SEC to resolve a previously disclosed investigation, allowing the company to refocus on its main business objectives.

The letter signed by 22 Republican state finance officials cited American Airlines’ recent legal loss as evidence that ...

This settlement in principle with the SEC staff remains subject to mutual agreement on the final language of the settlement documents and approval by the SEC. Accordingly, the Company emphasizes ...