DSG Updates

DSG Updates

SEC Roundtable on Trade-Through Prohibitions — September 18, 2025

SECURITIES & EXCHANGE COMMISSION   Roundtable on Trade-Through Prohibitions For questions on the note below, please contact the Delta Strategy Group team.  On September 18, the Securities and Exchange Commission (SEC) held a roundtable to discuss trade-through prohibitions in the National Market System (NMS) stock and listed options markets.  The agenda and panelists can be found here, …

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HFSC Subcommittee Hearing with FinCEN Director Gacki — September 9, 2025

HOUSE FINANCIAL SERVICES COMMITTEE Subcommittee Hearing For questions on the note below, please contact the Delta Strategy Group team. On September 9, the House Financial Services Committee Subcommittee on National Security, Illicit Finance, and International Financial Institutions held a hearing entitled “Evaluating the Financial Crimes Enforcement Network.”  The witness in …

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