ATSs that trade NMS stocks should prepare for new Form ATS-N filings requiring substantial public disclosure of their operations and their broker-dealer operator’s ATS-related activities.
Summary -
On July 18, 2018,...more
While many fintech companies will welcome the regulatory approach, banks and state regulators have some concerns.
In a long-awaited move aimed at establishing some clarity around the regulatory framework for companies...more
Office of the Comptroller of Currency publishes proposed framework for responsible innovation in federal banking.
The Office of the Comptroller of Currency (the OCC or the Agency) recently published a whitepaper,...more