BROKER-DEALER FINRA –
Proposes Changes to Its Inter-Dealer Quotation System for OTC Equity Securities –
The Financial Industry Regulatory Authority has proposed changes to its inter-dealer quotation system referred...more
SEC/CORPORATE –
SEC Division of Corporation Finance Issues C&DIs on Application of Rule 701 –
On June 23, the Staff of the Division of Corporation Finance (Staff) of the Securities and Exchange Commission...more
7/11/2016
/ Associated Persons ,
C&DIs ,
Chapter 11 ,
Credit Default Swaps ,
Economic Sanctions ,
EU ,
Financial Industry Regulatory Authority (FINRA) ,
Golden Leash Arrangements ,
Lehman Brothers ,
Mergers ,
MiFIR ,
Popular ,
SEFs ,
Smaller Reporting Companies ,
Stock Float ,
Suspicious Activity Reports (SARs) ,
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
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
BROKER-DEALER -
FINRA Issues Investor Alert Regarding IRS Phone Scam -
The Financial Industry Regulatory Authority issued an Investor Alert warning investors about a phone scam involving phone calls allegedly...more
11/16/2015
/ CPOs ,
EU ,
FFIEC ,
Financial Industry Regulatory Authority (FINRA) ,
Form PQR ,
Internal Investigations ,
Major Swap Participants ,
MiFID II ,
Risk Management ,
Tax Scams ,
UK ,
Volcker Rule
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
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:
- 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
In this issue:
- SEC Proposes Rule Amendments to Implement JOBS Act Registration Thresholds
- ISS Releases FAQs on Equity Plan Scorecard and Independent Chair Policy
- FINRA Issues Annual Regulatory and...more
1/12/2015
/ CFTC ,
Chicago Mercantile Exchange (CME) ,
Equity Plans ,
Financial Industry Regulatory Authority (FINRA) ,
Futures Commission Merchants (FCMs) ,
Independent Boards ,
Institutional Shareholder Services (ISS) ,
JOBS Act ,
NASD ,
No-Action Relief ,
REIT ,
Securities and Exchange Commission (SEC) ,
Strategic Enforcement Plan
In this issue:
- Delaware Chancery Court Declines to Dismiss Fraud Claims Against Private Equity Fund and Directors
- Agencies Amend Regulatory Capital and Liquidity Coverage Ratio Rules
- FINRA Proposes...more
12/22/2014
/ Affiliates ,
Banking Sector ,
Banks ,
Bitcoin ,
BitLicense ,
Capital Requirements ,
CFTC ,
CPOs ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Markets ,
Fraud ,
Liquidity Coverage Ratio ,
Market Participants ,
NFA ,
Private Equity Funds ,
Push-Out Requirements ,
Recordkeeping Requirements ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Swaps ,
Whistleblower Protection Policies
In this issue:
- SEC Sets October 2015 Target Date for Certain Dodd-Frank and JOBS Act Rulemaking
- FINRA Issues Notice on TRACE Trade Reporting Obligations
- NFA Issues Guidance on Exempt and Excluded...more
12/8/2014
/ AIFM ,
Bank Secrecy Act ,
Banks ,
Bitcoin ,
BitLicense ,
C-Suite Executives ,
Commodity Trading Advisors (CTAs) ,
CPOs ,
Dodd-Frank ,
Enforcement Actions ,
EU ,
EU Data Protection Laws ,
False Statements ,
FFIEC ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Funds ,
JOBS Act ,
NFA ,
OCC ,
Proposed Amendments ,
Regulatory Standards ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
TRACE ,
Whistleblower Awards
In this issue:
- US Court of Appeals for the District of Columbia Circuit Grants Petition for Rehearing of Decision on Conflicts Minerals Rule
- Register for Our 2015 Proxy Season Update Webinar
- SEC...more
11/24/2014
/ Amnesty International ,
Appeals ,
CFTC ,
Conflict Mineral Rules ,
Crowdfunding ,
Disclosure Requirements ,
EU ,
European Commission ,
False Claims Act (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
FinCEN ,
Fixed Income Investments ,
Forward Contract Exclusion ,
Forward Contracts ,
MSRB ,
Proxy Season ,
Proxy Voting Guidelines ,
Securities and Exchange Commission (SEC) ,
Swap Dealers
In this issue:
- Delaware Court of Chancery Rejects Controlling Stockholder Claims and Applies Business Judgment Rule to Merger Suits
- FINRA Remarks at the National Society of Compliance Professionals...more
10/27/2014
/ AIFM ,
Business Judgment Rule ,
CFTC ,
Enforcement Actions ,
ETFs ,
Financial Industry Regulatory Authority (FINRA) ,
High Frequency Trading ,
IOSCO ,
Private Funds ,
Securities and Exchange Commission (SEC) ,
Shareholder Litigation ,
Shareholders
In this issue:
- Council of Institutional Investors Issues Report on Board Evaluation Disclosure
- FINRA Revises Proposal to Adopt Consolidated FINRA Rule 2231
- IRS Considers Whether Management Fees of...more
9/22/2014
/ Broker-Dealer ,
CFTC ,
Corporate Governance ,
Dodd-Frank ,
EU ,
Financial Industry Regulatory Authority (FINRA) ,
Insider Trading ,
Institutional Investment ,
IRS ,
Limited Liability Company (LLC) ,
Margin Requirements ,
Swaps
In this issue:
- Oregon State Court Refuses to Enforce Forum Selection Bylaw
- SEC Announces Pilot Program to Widen Tick Sizes for Smaller Companies
- NFA Issues Notice Setting Effective Date for Risk...more
9/2/2014
/ Arbitration ,
Attorney's Fees ,
CFTC ,
Compliance ,
Confidentiality Agreements ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Forum Selection ,
Mandatory Arbitration Clauses ,
NFA ,
Restrictive Covenants ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Shareholder Litigation ,
Shareholders ,
Small Business