Financial Regulatory Updates SEC Proposes Major Overhaul of Investment Company "Cross-Trading" Rule to Lower Costs and Modernize Oversight October 9, 2026 Laily UPN WASHINGTON D.C. — In a regulatory move aimed at aligning antiquated oversight frameworks with modern market realities, the Securities and Exchange Commission (SEC) formally proposed sweeping amendments to Rule 17a-7…
Financial Regulatory Updates SEC Unveils Comprehensive ‘Exam Handbook’ to Modernize and Demystify the Regulatory Examination Process October 1, 2026 Asro WASHINGTON D.C. — In a significant regulatory development aimed at modernizing interactions between market participants and federal overseers, the Securities and Exchange Commission’s (SEC) Division of Examinations released its highly…
