Tag: SEC Staff Trading Restrictions

SEC 2024 Broker-Dealer Examination Priorities
Compliance Enforcement Investors

SEC Expands Trading Bans for Staff

The SEC has recently announced a significant overhaul of its ethics rules. These changes, designed to fortify and update the SEC’s ethics compliance framework, expands the prohibited securities transactions for the Staff and their families Strengthening the SEC’s Ethical Framework At the heart of this initiative is the collaborative effort […]