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SEC Proposes Rules to Enhance Transparency and Oversight of Alternative Trading Systems

The Securities and Exchange Commission on 18th November 2015 has voted to propose rules to enhance operational transparency and regulatory oversight of alternative trading systems (ATSs) that trade stocks listed on a national securities exchange (NMS stocks), including “dark pools.”

The proposed changes would represent a critical step forward in delivering greater transparency to investors, better information about ATSs and enhancing equity market structure.

For further details, refer the following link: click here

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SEC Adopts Rules to Permit Crowdfunding

The Securities and Exchange Commission on 30th October 2015 adopted final rules to permit companies to offer and sell securities through crowd funding. The Commission also voted to propose amendments to existing Securities Act rules to facilitate intrastate and regional securities offerings. The new rules and proposed amendments are designed to assist smaller companies with capital formation and provide investors with additional protections.

For further details, refer the following link: click here

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25 November 2015
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