An Overview of Which Market Disruption Events to Include for the Most Common Asset Classes under a Medium-Term Note Program -
A movie scene showing a day in the life of a calculation agent would likely not survive the...more
7/1/2025
/ Asset Management ,
Capital Markets ,
Contract Terms ,
ETFs ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Markets ,
Financial Services Industry ,
ISDA ,
NAV ,
Publicly-Traded Companies ,
Regulation Best Interest ,
Risk Management ,
Securities
On October 16, 2023, the Division of Examinations of the U.S. Securities and Exchange Commission (the “Division” and the “SEC,” respectively) announced its examination priorities for 2024. While the Division typically...more
10/24/2023
/ Cryptoassets ,
Environmental Social & Governance (ESG) ,
ETFs ,
Financial Markets ,
Financial Services Industry ,
Investment Adviser ,
Market Participants ,
Registered Investment Advisors ,
Regulation Best Interest ,
Regulatory Agenda ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)