SEC Issues Exemptive Order Regarding Compliance with Certain Rules Under Regulation NMS
Why this matters
This regulatory update from the SEC relates to compliance with certain rules under Regulation NMS, which impacts capital markets participants such as broker-dealers and banks. It involves reporting and disclosure requirements as well as operational resilience considerations around compliance with the updated regulations.
AI-generated classification rationale, not a full analysis. Verify with the original SEC source before acting. Full disclaimer.
What the SEC said
The Securities and Exchange Commission today issued an order granting temporary exemptive relief from certain compliance dates adopted under Regulation NMS: Minimum Pricing Increments, Access Fees and Transparency of Better Priced Orders as follows:…
Published by SEC . Read the full notice at the source for the authoritative text.
Context
Securities and Exchange Commission (SEC) — Primary regulator of US securities markets. We track 295 updates from them.
US financial regulation is overseen by multiple agencies including the SEC, CFTC, Federal Reserve, OCC and FDIC. Browse all United States updates.
This update is classified under Reporting & Disclosure, Operational Resilience / Outsourcing and Capital Markets & Trading.