Additional Broadridge resources:
View our Contact Us page for additional information.
One of our sales representatives will email you about your submission.
Welcome back, {firstName lastName}.
Not {firstName}? Clear the form.
Want to speak with a sales representative?
Your sales rep submission has been received. One of our sales representatives will contact you soon.
Our representatives and specialists are ready with the solutions you need to advance your business.
Want to speak with a sales representative?
Table Heading | |
---|---|
+1 800 353 0103 | North America |
+442075513000 | EMEA |
+65 6438 1144 | APAC |
Your sales rep submission has been received. One of our sales representatives will contact you soon.
Want to speak with a sales representative?
Table Heading | |
---|---|
+1 800 353 0103 | North America |
+442075513000 | EMEA |
+65 6438 1144 | APAC |
Nos représentants et nos spécialistes sont prêts à vous apporter les solutions dont vous avez besoin pour faire progresser votre entreprise.
Vous voulez parler à un représentant commercial?
Table Heading | |
---|---|
+1 800 353 0103 | Amérique du Nord |
+1 905 470 2000 | Canada Markham |
+1 416 350 0999 | Canada Toronto |
Votre soumission a été reçue. Nous communiquerons avec vous sous peu.
Vous souhaitez parler à un commercial ?
Table Heading | |
---|---|
+1 800 353 0103 | Amérique du Nord |
+1 905 470 2000 | Canada Markham |
+1 416 350 0999 | Canada Toronto |
Your source for the latest updates from the SEC, DOL and across the industry.
On December 14, the SEC adopted amendments to Rule 10b5-1 under the Securities Exchange Act of 1934 and new disclosure requirements “to enhance investor protections against insider trading.” The amendments include updates to Rule 10b5-1(c)(1) and Rule 10b-5.
Compliance Dates:
Read the press release and final rule adopting release..
On December 14, the SEC proposed Regulation Best Execution, which would establish a best execution regulatory framework for brokers, dealers, government securities brokers, government securities dealers and municipal securities dealers.
On December 14, the SEC proposed a rule that would require certain orders of individual investors “to be exposed to competition in fair and open auctions before such orders could be executed internally by any trading center that restricts order-by-order competition.”
On December 14, the SEC proposed to amend certain rules under Regulation NMS to adopt variable minimum pricing increments, or “tick sizes,” for the quoting and trading of NMS stocks, reduce access fee caps for protected quotations, and accelerate the transparency of the best priced orders available in the market.
On December 14, the SEC proposed amendments that would update the disclosure required under Rule 605 of Regulation NMS for order executions in national market system stocks (stocks listed on a national securities exchange).
On December 7, the SEC reopened the comment period on proposed amendments intended to modernize and improve the disclosure required about an issuer’s repurchases of its equity securities, often referred to as buybacks. The comment was reopened for the public to comment on the impact of The Inflation Reduction Act of 2022.
On December 8, the IAC discussed investor account statements, corporate tax transparency and single-stock ETFs.
Read the agenda and recorded webcasts.
On November 30, the SEC issued a no-action letter (and withdrew their prior no-action letter on the same subject) regarding publication or submission requirements of broker or dealer for fixed income transactions.
On November 23, the SEC released its Strategic Plan outlining agency objectives for fiscal years 2022 to 2026. This includes: “Modernize design, delivery, and content of disclosures so investors, including in particular retail investors, can access consistent, comparable, and material information to make informed investment decisions.”
On November 15, the SEC announced it filed 760 total enforcement actions in fiscal year 2022, a nine percent increase over the prior year.
Read the press release and statistics. .
On December 29, as part of the omnibus spending bill, SECURE 2.0 was signed into law. The significant retirement legislation includes many provisions that are designed to increase retirement savings for working families. A few highlights include:
On November 22, the DOL announced its final rule on “Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights.”
On November 18, the DOL announced its Employee Benefits Security Administration has proposed updates to its Voluntary Fiduciary Correction Program.
On December 8, the SEC’s Division of Corporation Finance issued guidance to public companies about the disclosure of exposure to digital assets. The SEC provided a sample comment letter to companies regarding recent crypto developments: “In meeting their disclosure obligations, companies should consider the need to address crypto asset market developments in their filings generally, including in their business descriptions, risk factors, and management’s discussion and analysis.”
View the guidance and sample letter.
On December 13, the SEC charged Samuel Bankman-Fried with orchestrating a scheme to defraud equity investors in FTX Trading Ltd. (FTX), the crypto trading platform of which he was the CEO and co-founder.
On December 13, House Financial Services Committee Chairwoman Waters and Ranking Member McHenry held a hearing to investigate the FTX Collapse.
Review the video of the hearing.
Although the SEC has not issued specific rules for crypto assets, SEC Commissioners have provided their views through public statements and speeches about the applicability (or lack thereof) of the existing securities law framework. We’ve included a curated list of links to recent statements:
Read Commissioner Jaime Lizárraga’s speech.
Read Chairman Gary Gensler’s September 15 Senate Banking Committee testimony.
Read Chairman Gary Gensler’s September 8 speech.
Read Commissioner Hester Peirce’s June 14 speech.
This newsletter is not intended as legal advice. Broadridge recommends you contact your legal counsel for a complete understanding of the information contained in this publication.
Contact Us about what’s next for you
Contact UsOur representatives and specialists are ready with the solutions you need to advance your business.
Want to speak with a sales representative?
Table Heading | |
---|---|
+1 800 353 0103 | North America |
+442075513000 | EMEA |
+65 6438 1144 | APAC |
Your sales rep submission has been received. One of our sales representatives will contact you soon.
Want to speak with a sales representative?
Table Heading | |
---|---|
+1 800 353 0103 | North America |
+442075513000 | EMEA |
+65 6438 1144 | APAC |