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Keyword: Regulatory burden

103 results found
Computer screen

Proposals seek comment on adjustments to listing requirements for industrials, miners and energy companies

A person inside a financial maze made out of hedges.

Regulator exceeded its authority with its proposed rulemaking

gavel

States failed to establish standing to oppose the rule

Old and new sign

Fees to rise for most firms as minimums go up, certain dealers pay higher share

Trader at computer screen

Regulators to boost fee transparency, explore enhanced retail access

Silhouette of man at sunset

Expanding access to advice, standardizing KYC data collection on SRO's agenda

Financial Technology concept illustration of Businessman pointing at abstract blue business charts and icons

Consultation paper on test environment for trading, clearing digital assets will be open for feedback until May 29

Merger puzzle pieces

Consolidation on hold as valuations sag, regulatory oversight intensifies

rules and regulations

Proposals aim to codify investor protections, enhance flexibility

client meeting

Transition to be aided by expanding fiduciary requirements