Aleeza Kanner

Aleeza Kanner

Eversheds Sutherland (US) LLP

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CFTC issues an enforcement advisory on self-reporting, cooperation, and remediation

On February 25, 2025, the Commodity Futures Trading Commission (CFTC or Commission) Division of Enforcement (Division) issued an Advisory on how to evaluate a firm’s self-reporting, cooperation, and remediation (referred to...more

3/10/2025  /  CFTC , Civil Monetary Penalty , Disclosure Requirements , Enforcement Actions , Financial Regulatory Reform , Regulatory Agenda , Regulatory Requirements , Self-Reporting

SEC approves FINRA rule 6500 series requiring securities lending reporting

On January 2, 2025, the Securities and Exchange Commission (the SEC) published an order approving a proposed rule change filed by the Financial Industry Regulatory Authority, Inc. (FINRA) to adopt the new FINRA Rule 6500...more

1/22/2025  /  Broker-Dealer , Capital Markets , Disclosure Requirements , Final Rules , Financial Industry Regulatory Authority (FINRA) , Reporting Requirements , Rulemaking Process , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Regulation
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