BROKER-DEALER -
FINRA Proposes Rule Change Related to the Content of the Securities Industry Essentials Examination -
On January 12, the Financial Industry Regulatory Authority (FINRA) filed with the Securities and...more
BROKER-DEALER -
FINRA Releases 2018 Regulatory and Examination Priority Letter -
On January 8, the Financial Industry Regulatory Authority (FINRA) released its annual Regulatory and Examination Priority Letter detailing...more
1/15/2018
/ CFTC ,
Cybersecurity ,
Examination Priorities ,
Financial Conduct Authority (FCA) ,
Initial Coin Offering (ICOs) ,
ISDA ,
ISDA Master Agreement ,
MiFID ,
MiFID II ,
Reporting Requirements ,
Trade Relations ,
UK Brexit
BROKER-DEALER -
FINRA Requests Further Comments on the Effectiveness and Efficiency of Its Payments for Market Making Rule -
On November 28, as part a retrospective rule review, the Financial Industry Regulatory...more
BROKER-DEALER -
FINRA Releases New Targeted Exam Letter Regarding Order Routing Conflicts -
On November 10, the Financial Industry Regulatory Authority released the contents of a new Order Routing Conflicts targeted...more
11/20/2017
/ Agricultural Sector ,
Audits ,
Broker-Dealer ,
CFTC ,
Commodities ,
Derivatives ,
Enforcement Actions ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Initial Coin Offering (ICOs) ,
MiFID II ,
No-Action Relief ,
Securities and Exchange Commission (SEC) ,
UK
SEC/CORPORATE -
SEC Expands Nonpublic Review of Draft Registration Statements -
On June 29, the Division of Corporation Finance (Division) of the Securities and Exchange Commission announced that, beginning on July 10,...more
7/10/2017
/ Bitcoin ,
CFTC ,
Consultation ,
Emerging Growth Companies ,
Financial Conduct Authority (FCA) ,
Initial Public Offering (IPO) ,
JOBS Act ,
MiFID II ,
NFA ,
No-Action Relief ,
Registration Statement ,
Securities and Exchange Commission (SEC) ,
SEFs ,
UK
ISS Releases 2017 Proxy Voting Guideline Updates -
On November 21, ISS published its 2017 Proxy Voting Guideline Updates, which will be in effect for meetings held on or after February 1, 2017. The US 2017 updates cover...more
12/5/2016
/ C&DIs ,
CFTC ,
EU ,
European Commission ,
Financial Conduct Authority (FCA) ,
Forex ,
Glass Lewis ,
Institutional Shareholder Services (ISS) ,
NFA ,
Proxy Season ,
UK ,
UK Brexit
BROKER-DEALER -
SEC Approves FINRA’s Proposed Expansion of Supplement Schedule for Derivatives and Off-Balance Sheet Items -
On April 5, the Financial Industry Regulatory Authority released Regulatory Notice 16-11...more
4/11/2016
/ CFTC ,
Corporate Governance ,
EU ,
Exchange-Traded Products ,
FDIC ,
Filing Requirements ,
Financial Industry Regulatory Authority (FINRA) ,
Guidance Update ,
MiFIR ,
Natural Gas ,
Remuneration ,
Swaps ,
UCITS V
BROKER-DEALER -
Change to the No-Action Relief Regarding Definition of “Ready Market” With Regard to Foreign Equity Securities Pursuant to SEC Rule 15c3-1(c)(11)(i) -
On February 9, the Securities and Exchange...more
2/15/2016
/ AML/CFT ,
Central Counterparties ,
CFTC ,
EU ,
EU Directive ,
European Commission ,
Financial Conduct Authority (FCA) ,
No-Action Relief ,
Private Placements ,
Public Offerings ,
Terrorism Funding ,
UCITS
BROKER-DEALER -
2016 Examination Priorities Announced By SEC -
On January 11, the Securities and Exchange Commission released the Office of Compliance Inspections and Examinations’ (OCIE) 2016 examination...more
1/18/2016
/ CFTC ,
Cybersecurity ,
Derivatives ,
ETFs ,
EU ,
European Banking Authority (EBA) ,
Financial Conduct Authority (FCA) ,
Investment Funds ,
MiFID II ,
SEC Examination Priorities ,
Swap Clearing ,
UK
SEC/CORPORATE SEC Division of Corporation Finance Issues New C&DIs on FAST Act -
As previously reported, President Obama signed into law the Fixing America’s Surface Transportation Act (FAST Act) on December 4. The...more
SEC/CORPORATE -
FAST Act Legislation and Impact on Securities Law -
On December 4, President Obama signed into law the Fixing America’s Surface Transportation Act (FAST Act). This transportation bill includes...more
SEC/CORPORATE -
Proxy Advisory Firms Release Policy Updates for 2016 -
Institutional Shareholder Services (ISS) and Glass Lewis, two leading proxy advisory firms, recently published their 2016 proxy voting...more
12/7/2015
/ Banking Sector ,
Broker-Dealer ,
CFTC ,
EU ,
Financial Industry Regulatory Authority (FINRA) ,
MiFID II ,
OCC ,
Overboarding ,
Proxy Voting Guidelines ,
Securities and Exchange Commission (SEC) ,
Shareholder Proposals ,
Waiting Periods
SEC/CORPORATE -
ISS Releases 2016 Draft Voting Policy Changes for Comment -
On October 26, Institutional Shareholder Services (ISS), a leading proxy advisory firm, released for comment draft voting policy changes...more
11/2/2015
/ Banking Examinations ,
Board of Directors ,
CFTC ,
Clearing Agencies ,
Derivatives Clearing Organizations ,
Directors ,
Federal Reserve ,
Financial Conduct Authority (FCA) ,
HMRC ,
Institutional Shareholder Services (ISS) ,
Publicly-Traded Companies ,
Registration Requirement ,
Rule 14a-8 ,
Securities and Exchange Commission (SEC) ,
Senior Managers Insurers Regime (SMIR) ,
Shareholder Proposals ,
Shareholders
BROKER-DEALER -
FINRA Requests Comment on Revised Price Disclosure Information Standards for Corporate and Agency Debt Securities -
The Financial Industry Regulatory Authority issued a regulatory notice...more
10/19/2015
/ AIFM ,
Alternative Investment Fund Managers Directive (AIFMD) ,
Broker-Dealer ,
CFTC ,
Commodity Exchange Act (CEA) ,
Debt Securities ,
Disclosure Requirements ,
Dividends ,
EU ,
European Commission ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Regulatory Reform ,
Investment Funds ,
NFA ,
No-Action Relief ,
OCC ,
Proposed Regulation ,
Swaps ,
Withholding Tax
SEC/CORPORATE -
ISS Publishes Results of 2015–2016 Annual Global Policy Survey -
On September 28, Institutional Shareholder Services (ISS), a leading proxy advisory firm, published the results of its 2015–2016...more
10/5/2015
/ Banks ,
Broker-Dealer ,
Bylaws ,
CEOs ,
CFTC ,
Consumer Financial Protection Bureau (CFPB) ,
Consumer Lenders ,
Corporate Governance ,
Derivatives ,
Derivatives Clearing Organizations ,
Director Compensation ,
EU ,
European Securities and Markets Authority (ESMA) ,
FFIEC ,
Financial Industry Regulatory Authority (FINRA) ,
GAAP ,
Independent Boards ,
Institutional Shareholder Services (ISS) ,
Liquidity Risk Management Rule ,
Proxy Access Rule ,
Proxy Season ,
Regulation Technical Standards (RTS) ,
Securities and Exchange Commission (SEC) ,
Swaps ,
Trade Market Abuse
SEC/CORPORATE -
SEC Advisory Committee on Small and Emerging Companies Makes Recommendations -
On September 23, the Securities and Exchange Commission Advisory Committee on Small and Emerging Companies (Advisory...more
9/28/2015
/ ACH Payments ,
Asset Diversification ,
Banking Sector ,
Broker-Dealer ,
CFTC ,
Derivatives ,
Derivatives Clearing Organizations ,
Emerging Growth Companies ,
FDIC ,
Financial Conduct Authority (FCA) ,
Finders ,
Investment Funds ,
IRS ,
Mutual Funds ,
Registration Requirement ,
Rule 147 ,
SEC Advisory Committee ,
Securities and Exchange Commission (SEC) ,
Supervision ,
U.S. Treasury ,
UK
BROKER-DEALER SEC -
Extends Specified Temporary Relief Related to Security-Based Swaps -
On September 15, the SEC issued an order extending temporary exemptions and exceptions from compliance with certain...more
9/21/2015
/ BEA ,
Broker-Dealer ,
CFTC ,
Derivatives ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Investment Adviser ,
Investment Companies ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Security-Based Swaps ,
UK
SEC/CORPORATE -
US District Court Orders SEC To Revise Resource Extraction Issuer Rule -
On September 2, the US District Court for the District of Massachusetts ordered the SEC to file with the District Court in 30...more
9/14/2015
/ Banking Sector ,
Broker-Dealer ,
C-Suite Executives ,
CFTC ,
Commodities ,
Consultation ,
Corporate Executive Boards ,
Failure To Disclose ,
FFIEC ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Investment Funds ,
Major Swap Participants ,
NFA ,
NYSE ,
Oxfam America ,
Resource Extraction ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Swaps ,
Trade Market Abuse ,
UCITS ,
UK
CFTC -
CFTC Announces Upcoming Agricultural Advisory Committee Meeting -
The CFTC’s Agricultural Advisory Committee will hold a public meeting on September 22 to address speculative positions limits for...more
9/8/2015
/ Banking Sector ,
Central Counterparties ,
CFTC ,
Cybersecurity ,
EMIR ,
EU ,
European Central Bank ,
European Securities and Markets Authority (ESMA) ,
Forex ,
Liquidity ,
MiFID II ,
NFA
In this issue:
- US Court of Appeals for the District of Columbia Circuit Upholds Decision on Conflict Minerals Rule
- CFTC Issues Order of Exemption From Registration as a DCO to ASX Clear (Futures) Pty Limited and...more
8/24/2015
/ Appeals ,
CFTC ,
Conflict Mineral Rules ,
Derivatives ,
EMIR ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Prudential Regulation Authority (PRA) ,
Registration Requirement ,
Securities and Exchange Commission (SEC) ,
Swap Clearing ,
Swaps ,
Websites
In this issue:
- SEC Seeks Comment on Possible Enhancement of Audit Committee Disclosures
- SEC Proposes Rule Requiring Executive Compensation Clawbacks
- FINRA Requests Comment on Revised Discretionary...more
7/13/2015
/ Audit Committee ,
CFTC ,
Clawbacks ,
Cross-Border ,
Enforcement Actions ,
European Securities and Markets Authority (ESMA) ,
Financial Industry Regulatory Authority (FINRA) ,
Futures ,
Greece ,
Hong Kong ,
Margin Requirements ,
MiFID II ,
Securities and Exchange Commission (SEC) ,
Swaps
In this issue:
- Delaware Amends Its Corporate Law to Prohibit Fee-Shifting, Approve Exclusive Forum Provisions and Facilitate At-The-Market Offerings
- SEC Division of Corporation Finance Issues New C&DIs Relating...more
In This Issue:
- Meeting of the SEC Advisory Committee on Small and Emerging Companies
- FINRA Requests Comment on a Proposed Rule to Require Delivery of an Educational Communication to Customers of a Transferring...more
6/15/2015
/ Bank Fraud ,
Bank of England ,
British Bankers' Association ,
Business Development ,
Capital Requirements ,
CFTC ,
Commodity Trading Advisors (CTAs) ,
Crowdfunding ,
Derivatives ,
Disclosure Requirements ,
Diversity ,
Dodd-Frank ,
DSIO ,
Employment Policies ,
Equal Employment Opportunity Commission (EEOC) ,
EU ,
European Banking Authority (EBA) ,
Fair and Effective Markets Review (FEMR) ,
FICC ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Markets ,
Finders ,
GameStop ,
IMF ,
JOBS Act ,
LGBTQ ,
OMWI ,
Privacy Policy ,
Regulation S-K ,
Rule 147 ,
Securities and Exchange Commission (SEC) ,
Small Business ,
Swaps ,
UK ,
World Bank
In This Issue:
- SEC Staff Releases Analysis Related to Pay Ratio Disclosure Rules
- States Challenge Blue Sky Preemption Under Regulation A+
- FINRA Proposes Revised BrokerCheck Hyperlink Rule
-...more
6/8/2015
/ Blue Sky Laws ,
BrokerCheck ,
Capital Markets ,
CFTC ,
Clawbacks ,
Disclosure Requirements ,
EU ,
European Commission ,
Executive Compensation ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Hedge Funds ,
Investment Adviser ,
National Futures Association ,
NFA ,
Preemption ,
Public Comment ,
Regulation A ,
Securities and Exchange Commission (SEC) ,
Total Shareholder Return (TSR)
In this issue:
- Section 16(b) Decision Provides Important Guidance
- FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public
- Form BE-10 Filing Deadline...more