All Division of Trading and Markets articles
-
ArticleSEC staff warn broker-dealers ‘remain vigilant’ amid market volatility
Amid Russia’s invasion of Ukraine, SEC staff issued a statement warning broker-dealers and other market participants to “remain vigilant to market and counterparty risks that may surface during periods of heightened volatility and global uncertainties.”
-
Blog
New appointments at the SEC
The SEC has announced new appointments to the Office of Compliance Inspections and Examinations, as well to the Division of Trading and Markets.