SEC Announces Inspection Priorities for 2023 -
On February 7, the Securities and Exchange Commission (SEC) announced its inspection priorities for the current year. The announcement began by noting that the SEC examined 15...more
2/22/2023
/ Broker-Dealer ,
Disclosure Requirements ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Fiduciary Duty ,
Fund Managers ,
Investment Adviser ,
Investors ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Whistleblowers
BROKER-DEALER -
FINRA New Rule 3241 Becomes Effective February 15 -
On February 15, Financial Industry Regulatory Authority (FINRA) new Rule 3241 — “Registered Person Being Named a Customer’s Beneficiary or Holding a...more
2/8/2021
/ Broker-Dealer ,
Compliance ,
Department of Justice (DOJ) ,
Enforcement Actions ,
EU ,
False Claims Act (FCA) ,
Federal Trade Commission (FTC) ,
Financial Industry Regulatory Authority (FINRA) ,
HM Treasury ,
Investment Adviser ,
Securities and Exchange Commission (SEC) ,
UK
SEC/CORPORATE -
SEC Proposes Amendments to Financial Disclosure in Regulation S-K and Issues New Guidance -
On January 30, the Securities and Exchange Commission voted to propose amendments to certain financial...more
2/11/2020
/ AML/CFT ,
Antitrust Provisions ,
Broker-Dealer ,
CFTC ,
Corporate Governance ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
European Securities and Markets Authority (ESMA) ,
Federal Trade Commission (FTC) ,
Financial Industry Regulatory Authority (FINRA) ,
Hart-Scott-Rodino Act ,
MD&A Statements ,
New Guidance ,
Performance Standards ,
Publicly-Traded Companies ,
Regulation S-K ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Threshold Requirements
BROKER-DEALER -
SEC Chairman Clayton and Trading and Markets Director Redfearn Call for a Reassessment of Regulation NMS -
On March 8, US Securities and Exchange Commission chairman Jay Clayton and director, Division...more
3/11/2019
/ Alternative Trading System (ATS) ,
Antitrust Provisions ,
Basel Committee on Banking Supervision (BCBS) ,
Broker-Dealer ,
CFTC ,
Derivatives ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Hart-Scott-Rodino Act ,
IOSCO ,
ISDA ,
Margin Requirements ,
MiFIR ,
National Futures Association ,
No-Deal Brexit ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
Regulation NMS ,
Securities and Exchange Commission (SEC) ,
Stock Exchange ,
Truth in Lending Act (TILA) ,
UK Brexit
In this issue:
- SEC Chair Directs Staff to Review Commission Rule Excluding Conflicting Proxy Proposals
- SEC Comments on FINRA's Proposed Rule Amendment to Increase Pricing Disclosure
- CFTC Grants...more
1/26/2015
/ Broker-Dealer ,
Canada ,
CFTC ,
Class Action ,
Conflicts of Interest ,
European Securities and Markets Authority (ESMA) ,
Financial Industry Regulatory Authority (FINRA) ,
Forex ,
Hart-Scott-Rodino Act ,
Hong Kong ,
Mary Jo White ,
Mexico ,
Mining ,
Mortgages ,
NFA ,
OCC ,
Proposed Regulation ,
Proxy Access Rule ,
PSLRA ,
Scienter ,
Securities ,
Securities and Exchange Commission (SEC) ,
Shareholder Proposals ,
Threshold Requirements ,
Whole Foods