THE LATEST

ASA Calls on SEC to Delay Comment Timeline for Market Structure Proposals

ASA Calls on SEC to Reject SRO Executed Share Model Proposal

Applauds SEC Action to Expand Safeguarding Rule

ASA Welcomes SEC’s Proposal to Shorten Settlement Cycle to T+1

ASA Applauds District Court’s Decision to Invalidate DOL Policy as Unlawful Rulemaking

ASA Submits Recommendations to SEC Small Business Capital Formation Advisory Committee

ASA Encourages SEC to Reconsider Provisions to Investment Advisors Act

ASA Submits Comments on SEC’s Outsourcing Proposal

ASA Sends DOL Letter on Independent Contractors

ASA Raises Concerns on DOL Proposed Rule

ASA Calls on SEC to Refocus on Capital Formation

ASA Submits Comments on MSRB and FINRA Proposal

ASA Submits Letter on SEC’s Shareholder Proposal Rule

ASA Sends Comment Letter to NASAA on REIT Proposal

ASA Submits Comment Letter on FINRA's Proposed Rule

ASA Submits Comment Letter on SEC’s ESG Proposed Rule

ASA Warns SEC Against New and Disruptive Municipal Bond Market Regulations

ASA Urges SEC to Drop Climate-Disclosure Rule

ASA Comments on FINRA Regulatory Notice 22-08

ASA Comments on SEC’s Definition of “Exchange” & Regulation ATS Proposal