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Mar 8
1 min
ASA Calls on SEC to Delay Comment Timeline for Market Structure Proposals
Feb 23
1 min
ASA Calls on SEC to Reject SRO Executed Share Model Proposal
Feb 15
1 min
Applauds SEC Action to Expand Safeguarding Rule
Feb 15
1 min
ASA Welcomes SEC’s Proposal to Shorten Settlement Cycle to T+1
Feb 13
1 min
ASA Applauds District Court’s Decision to Invalidate DOL Policy as Unlawful Rulemaking
Feb 7
2 min
ASA Submits Recommendations to SEC Small Business Capital Formation Advisory Committee
Feb 2
1 min
ASA Encourages SEC to Reconsider Provisions to Investment Advisors Act
Dec 27, 2022
1 min
ASA Submits Comments on SEC’s Outsourcing Proposal
Dec 15, 2022
1 min
ASA Sends DOL Letter on Independent Contractors
Dec 12, 2022
1 min
ASA Raises Concerns on DOL Proposed Rule
Oct 13, 2022
2 min
ASA Calls on SEC to Refocus on Capital Formation
Sep 30, 2022
1 min
ASA Submits Comments on MSRB and FINRA Proposal
Sep 14, 2022
1 min
ASA Submits Letter on SEC’s Shareholder Proposal Rule
Sep 13, 2022
1 min
ASA Sends Comment Letter to NASAA on REIT Proposal
Sep 6, 2022
1 min
ASA Submits Comment Letter on FINRA's Proposed Rule
Aug 17, 2022
2 min
ASA Submits Comment Letter on SEC’s ESG Proposed Rule
Jun 23, 2022
2 min
ASA Warns SEC Against New and Disruptive Municipal Bond Market Regulations
Jun 13, 2022
2 min
ASA Urges SEC to Drop Climate-Disclosure Rule
May 2, 2022
2 min
ASA Comments on FINRA Regulatory Notice 22-08
Apr 22, 2022
2 min
ASA Comments on SEC’s Definition of “Exchange” & Regulation ATS Proposal
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