United States: Federal Register: SEC Requires Prior Approval On SRO Fee Increases - Cadwalader, Wickersham & Taft LLP

Mondaq

20 Oct 2020 0 shares 1 views

Mondaq

Published 20 Oct 2020

The exception allows fee changes to go into effect upon filing with the SEC, without any public comment period or express SEC approval.

United States: Federal Register: SEC Adopts Additional Requirements To Publish Quotations On OTC Securities - Cadwalader, Wickersham & Taft LLP

Mondaq 30 Oct 2020

The amendments will go into effect on December 28, 2020, but an additional period will be allowed for issuers and broker-dealers to..