Regulators overhauled Rule 4210, abolishing the PDT rule.

The entities involved

• Securities and Exchange Commission →

  government agency of the Philippines

  • BlackRock, the manager of the iShares Core MSCI EAFE ETF, has made required filings with the Securities and Exchange Commission regarding institutional holdings.Mon 16:42
  • Filing required regarding institutional holdings for Schwab Emerging Markets Equity ETF and Waterford Advisors LLC with the SEC.Mon 16:38
• Financial Industry Regulatory Authority →

  American finance industry self-regulatory organization

  • SEC investigation led to civil complaint against a company involving financial industry regulatory bodies.Wed 20:38
  • FINRA investigated and sanctioned Black's firm, with the Securities and Exchange Commission supervising the activities.Tue 21:32

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• DragonFi Securities tested new market access under regulatory supervision by the Securities and Exchange Commission.Wed 04:44