- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2016-09-30T10:15:00
A rule amendment to shorten the standard settlement cycle for most broker-dealer securities transactions from three business days after the trade date (T+3) to two business days after the trade date (T+2) was proposed by the Securities and Exchange Commission on Sept. 28. The move is intended to keep pace ...
2017-03-24T09:15:00Z By Joe Mont
The SEC has approved reducing the settlement cycle for most broker-dealer securities transactions by one day. It will also evaluate the possibility of end-of-the-day settlement cycles.
2025-06-04T20:56:00Z By Ian Sherr
Compliance is increasingly in the spotlight as companies are tackling everything from artificial intelligence and other new technologies to risk management and mitigation. But it’s soft skills of communication and relationship building that are becoming the most critical tools for success.
2019-04-15T20:51:00Z By Joe Mont
The Trump administration is trying a new strategy to seize control over independent agencies’ rulemaking processes and the guidance they issue.
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