In this issue:
- SEC Sanctions 10 Companies for Disclosure Failures Surrounding Financing Deals and Stock Dilution
- Delaware Court of Chancery Rejects Entire Fairness Review in Absence of Conflicted...more
11/10/2014
/ CFTC ,
Compliance ,
Dilution ,
Disclosure Requirements ,
Enforcement ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Financing ,
Futures Commission Merchants (FCMs) ,
Mutual Funds ,
NFA ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
UK ,
Virtual Currency
In this issue:
- FINRA Proposes to Adopt Rules on Quotation Requirements for OTC Equity Securities
- CFTC Seeks Comment on ICE Clear Europe Portfolio Margining Proposal
- New York DFS Proposes First...more
7/21/2014
/ CFTC ,
Equity Securities ,
EU ,
FDIC ,
Financial Industry Regulatory Authority (FINRA) ,
Margin Requirements ,
Material Misstatements ,
Over The Counter Derivatives (OTC) ,
Statute of Repose ,
TCPA ,
Vicarious Liability ,
Virtual Currency
In this issue:
- US Court of Appeals for the District of Columbia Circuit Partially Invalidates Conflict Minerals Rule
- FINRA Proposes Rule 2081 to Prohibit “Bargained-For” Expungements
- SEC Issues FAQs...more
In this issue:
- SEC Roundtable Discusses Cybersecurity Threats and Protections Against Cyberattacks
- Proposed Changes to FINRA Classification of Hybrid Securities for Trade Reporting Purposes
- FINRA...more
3/31/2014
/ CFTC ,
Class Action ,
Class Certification ,
Collateralized Debt Obligations ,
Cyber Attacks ,
Cybersecurity ,
Data Breach ,
Data Protection ,
Financial Industry Regulatory Authority (FINRA) ,
Immigration and Customs Enforcement (ICE) ,
Initial Public Offering (IPO) ,
Securities and Exchange Commission (SEC) ,
Swaps
In this issue:
- FINRA Requests Comment on Proposed Rule Set for Limited Corporate Financing Brokers
- SEC Issues No-Action Relief to Broker Dealers from Financial Responsibility Rule 15c3-3 Amendments
-...more
The Financial Industry Regulatory Authority announced that it will waive continuing membership application (CMA) fees when a CMA proposes minor changes that do not require substantial review by FINRA staff, such as certain...more
The Financial Industry Regulatory Authority adopted rule amendments in furtherance of the joint industry Regulation NMS Plan to Address Extraordinary Market Volatility (Plan). Pursuant to the Plan, FINRA amended its rules to,...more
The Financial Industry Regulatory Authority has issued Regulatory Notice 12-49 regarding the Securities and Exchange Commission’s approval of amendments to NASD Rule 2711 and incorporated NYSE Rule 472 relating to research...more