ASA Submits Comments on SEC Proposed Rule for Safeguarding Advisory Client Assets
The ASA filed a comment letter raising concerns with the SEC's proposed Safeguarding Advisory Client Assets Rule.
ASA Submits Comments on SEC Proposed Rule for Safeguarding Advisory Client Assets
ASA Statement on SEC Volume-Based Exchange Transaction Pricing Proposal
ASA & Citadel Securities File Lawsuit Against SEC Challenging Consolidated Audit Trail
ICYMI: FINRA’s Cook Dumps on Consolidated Audit Trail
ASA Statement on SEC Short Sale Disclosure on CAT Rule
ASA Opposes Proposed Predictive Data Analytics Rulemaking
ASA Commends Senators Kennedy & Britt Urging GAO Review of CAT in Light of Investor Privacy Concerns
ASA Submits Comments on Proposed FTC Rule Amending HSR Pre-Merger Filing Process
ASA Statement on Oversight of SEC Ahead of House Financial Services Committee Hearing
ASA in The Wall Street Journal: The SEC Wants to Spy on Your Portfolio