The Securities and Exchange Commission has issued final rules requiring municipal advisors to register with the SEC. The final rules define “municipal advisor” to include a person who provides advice regarding municipal...more
On May 1, the Securities and Exchange Commission proposed rules and interpretive guidance with respect to cross-border security-based swap activities. Under this proposal, the requirements of Title VII of the Dodd-Frank Wall...more
The Securities and Exchange Commission issued a final rule affecting clearing agencies registered with both the SEC and the Commodity Futures Trading Commission. The final rule allows certain rule changes by such dually...more
The Securities and Exchange Commission approved the adoption of a supplemental schedule for derivatives and other off-balance sheet items. ...more
On March 8, the Securities and Exchange Commission proposed Regulation Systems Compliance and Integrity (Regulation SCI), which would require certain self-regulatory organizations, alternative trading systems, plan processors...more