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THE LATEST

News and updates from the ASA Newsroom.

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Nov 2, 20232 min read

ASA Outlines Consequences of SEC Regulatory Agenda to Financial Services Committee

Oct 31, 20232 min read

ASA Statement on Biden DOL’s Fiduciary Rule

Oct 30, 20233 min read

ASA Statement on SEC Exempting Rule 144A Fixed-Income Securities from Rule 15c2-11

Oct 30, 20232 min read

ASA Submits Comments on SEC Proposed Rule for Safeguarding Advisory Client Assets

Oct 18, 20231 min read

ASA Statement on SEC Volume-Based Exchange Transaction Pricing Proposal

Oct 17, 20232 min read

ASA & Citadel Securities File Lawsuit Against SEC Challenging Consolidated Audit Trail

Oct 17, 20232 min read

ICYMI: FINRA’s Cook Dumps on Consolidated Audit Trail

Oct 13, 20232 min read

ASA Statement on SEC Short Sale Disclosure on CAT Rule

Oct 10, 20233 min read

ASA Opposes Proposed Predictive Data Analytics Rulemaking

Oct 6, 20232 min read

ASA Commends Senators Kennedy & Britt Urging GAO Review of CAT in Light of Investor Privacy Concerns

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