Jeremy Moorehouse

WilmerHale

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The SEC Issues Statement and Requests Comment Regarding the Custody of Digital Asset Securities by Special Purpose Broker-Dealers

On December 23, 2020, the Securities and Exchange Commission (SEC or Commission) issued a statement (Statement) regarding the custody of digital assets that are “securities” under the federal securities laws. The Statement...more

2/2/2021 / Broker-Dealer , Chain of Custody , Comment Period , Custody , Digital Assets , Securities and Exchange Commission (SEC) , Securities Exchange Act

SEC Proposes Transaction Fee Pilot for NMS Stocks

On March 14, 2018, the Securities and Exchange Commission (SEC) proposed Rule 610T of Regulation NMS under the Securities Exchange Act of 1934 to conduct a pilot program (Pilot) to study the effect of equity exchange...more

3/28/2018 / Federal Pilot Programs , Regulation NMS , Securities and Exchange Commission (SEC) , Securities Exchange Act , Transaction Fees

Expanding Oversight of Active, Proprietary Trading Firms: SEC Proposes Amendments to Rule 15b9-1

Overview - On March 25, 2015, the Securities and Exchange Commission ("SEC" or "Commission") proposed an amendment to Rule 15b9-1 (the “Proposal”) under the Securities Exchange Act of 1934 ("Exchange Act") that, if...more

4/15/2015 / Broker-Dealer , Financial Industry Regulatory Authority (FINRA) , High Frequency Trading , Proposed Amendments , Registration Requirement , Rule 15B9-1 , Securities and Exchange Commission (SEC) , Securities Exchange Act

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