SEC/CORPORATE -
SEC-Proposed Amendments to Financial Disclosures for Acquisitions and Dispositions of Businesses -
As a result of the Securities and Exchange Commission’s 2015 request for comments on Regulation S-X, the...more
5/13/2019
/ CFTC ,
Commodity Exchange Act (CEA) ,
Disclosure Requirements ,
Enforcement Actions ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Statements ,
Proposed Amendments ,
Regulation S-X ,
Securities and Exchange Commission (SEC) ,
UCITS ,
UK
BROKER-DEALER -
SEC Extends Compliance Date for Regulation NMS Changes -
The Securities and Exchange Commission has extended the compliance dates for amendments to Rule 606 of Regulation National Market System (NMS)...more
5/6/2019
/ Broker-Dealer ,
CBOE ,
CFTC ,
Derivatives ,
EMIR ,
EU ,
Fake Websites ,
FBI ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
IOSCO ,
National Market System (NMS) ,
Securities and Exchange Commission (SEC) ,
Swap Data Repositories ,
Swap Dealers ,
Websites
BROKER-DEALER -
FINRA Requests Comment on Proposed Pilot Program to Study Changes to Corporate Bond Block Trade Dissemination -
On April 12, the Financial Industry Regulatory Authority (FINRA) published a regulatory...more
SEC/CORPORATE -
SEC Adopts Rules to Modernize and Simplify Disclosure -
The Securities and Exchange Commission recently adopted final rules to modernize and simplify the disclosure requirements for public companies...more
4/15/2019
/ Broker-Dealer ,
Confidential Information ,
Corporate Financing Rule ,
Cryptoassets ,
Digital Assets ,
Disclosure Requirements ,
Final Rules ,
Financial Industry Regulatory Authority (FINRA) ,
Fixing America’s Surface Transportation Act (FAST Act) ,
Form 10-K ,
GAAP ,
Proposed Rules ,
Regulation S-K ,
Securities and Exchange Commission (SEC)
BROKER-DEALER -
Nasdaq Proposes Rule Change to SEC to Assume Operational Responsibility for Certain Investigation and Enforcement Functions Currently Performed by FINRA -
On April 3, the Securities and Exchange...more
4/8/2019
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Broker-Dealer ,
CFTC ,
Corporate Governance ,
EU ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Memorandum of Understanding ,
Nasdaq ,
No-Action Letters ,
No-Action Relief ,
No-Deal Brexit ,
Securities and Exchange Commission (SEC) ,
SEFs ,
UK ,
UK Brexit
BROKER-DEALER -
FINRA Proposes Data Service for Corporate Bond New Issues -
The Financial Industry Regulatory Authority (FINRA) has filed with the Securities and Exchange Commission a proposed rule change to establish a...more
4/1/2019
/ Broker-Dealer ,
CFTC ,
Derivatives ,
European Securities and Markets Authority (ESMA) ,
Final Rules ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Margin Requirements ,
Proposed Rules ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC) ,
Self-Regulatory Organizations ,
Swap Dealers ,
TRACE ,
UK Brexit
BROKER-DEALER -
FINRA Issues Guidance on FOCUS Reporting for Operating Leases -
On March 19, the Financial Industry Regulatory Authority, Inc. (FINRA) released Regulatory Notice 19-08 to provide guidance to members for...more
3/25/2019
/ Broker-Dealer ,
CFTC ,
Derivatives ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Global Market ,
MiFID II ,
No-Deal Brexit ,
Securities and Exchange Commission (SEC) ,
UK Brexit
BROKER-DEALER -
FINRA Files Proposed Rule Change to CAB Rules Governing Qualification, Registration and Continuing Education of Associated Persons of CABs -
The Financial Industry Regulatory Authority (FINRA) is filing...more
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
SEC/CORPORATE -
SEC Proposes To Expand “Test-the-Waters” Reforms to All Issuers -
On February 19, the Securities and Exchange Commission proposed Rule 163B under the Securities Act of 1933, which would permit any...more
3/4/2019
/ CFTC ,
Corporate Issuers ,
Emerging Growth Companies ,
EU ,
Financial Conduct Authority (FCA) ,
JOBS Act ,
Litigation Funding ,
MiFIR ,
Proposed Rules ,
Qualified Institutional Buyers ,
Regulation FD ,
Securities and Exchange Commission (SEC) ,
Testing-the-Waters Communications ,
UK ,
UK Brexit
BROKER-DEALER -
SEC and New Jersey US Attorney’s Office Bring Parallel Charges in EDGAR Hacking Scheme -
On January 15, the Securities and Exchange Commission announced charges against nine defendants, alleging their...more
1/21/2019
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Auction ,
Broker-Dealer ,
Corporate Governance ,
EDGAR ,
EU ,
European Commission ,
Financial Industry Regulatory Authority (FINRA) ,
Hackers ,
Securities and Exchange Commission (SEC) ,
UK ,
UK Brexit
SEC/CORPORATE -
SEC Adopts Final Rules for Disclosure of Hedging Policies -
The Securities and Exchange Commission recently announced that it had at last adopted final rules to implement Section 14(j) (Disclosure of...more
BROKER-DEALER -
SEC Adopts Transaction Fee Pilot for NMS Stocks -
On December 19, the US Securities and Exchange Commission announced that it had voted to conduct a Transaction Fee Pilot in national market system (NMS)...more
BROKER-DEALER -
SEC Approves New Supplement to Options Disclosure Document -
On November 9, the Securities and Exchange Commission approved a new supplement (Supplement) to the Characteristics & Risks of Standardized...more
11/19/2018
/ Amended Rules ,
Broker-Dealer ,
Cryptocurrency ,
Digital Assets ,
European Securities and Markets Authority (ESMA) ,
MiFID II ,
Personal Data ,
Securities and Exchange Commission (SEC) ,
Securities Transactions ,
UK Brexit ,
Virtual Currency
DERIVATIVES -
SEC Issues Statement on Swap Business Conduct Rules -
On October 31, the Securities and Exchange Commission took an unusual additional step towards implementing its rules for security-based swaps (SBS) by...more
11/5/2018
/ Alternative Investment Fund Managers Directive (AIFMD) ,
CFTC ,
Cryptoassets ,
Cryptocurrency ,
Derivatives ,
EU ,
European Securities and Markets Authority (ESMA) ,
Futures Commission Merchants (FCMs) ,
No-Action Relief ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
UCITS ,
UK ,
UK Brexit
DERIVATIVES -
SEC Reopens Comment Period for Unfinished Security-Based Swap Rules -
On October 11, the Securities and Exchange Commission demonstrated renewed interest in completing the regulatory regime for...more
10/22/2018
/ Climate Change ,
Comment Period ,
Derivatives ,
Financial Conduct Authority (FCA) ,
Green Finance ,
New Guidance ,
Securities and Exchange Commission (SEC) ,
Securitization ,
Security-Based Swaps ,
Swaps ,
UK ,
UK Brexit
BROKER-DEALER -
SEC Commissioner Jackson Gives Speech Regarding the State of America’s Stock Exchanges -
On September 19, Commissioner Robert J. Jackson, Jr. of the Securities and Exchange Commission gave a speech...more
SEC/CORPORATE -
SEC Adopts Amendments To Simplify and Update Certain Disclosure Requirements -
On August 17, the Securities and Exchange Commission announced the adoption of proposed rule amendments (Amendments) to...more
8/27/2018
/ Amended Regulation ,
Bitcoin ,
Chief Compliance Officers ,
Compliance ,
Disclosure Requirements ,
Exchange-Traded Products ,
MLD4 ,
Municipal Securities Issuers ,
Publicly-Traded Companies ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Third Country Entities (TCEs) ,
UK Brexit
BROKER-DEALER -
SEC Disapproves BZX Proposed Rule Change to List Shares of Bitcoin-Based Exchange-Traded Product -
On July 26, the Securities and Exchange Commission disapproved a Bats BZX Exchange proposed rule change...more
7/30/2018
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Bitcoin ,
Broker-Dealer ,
CFTC ,
Corporate Governance ,
EU Passport ,
Investment Adviser ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC) ,
UCITS ,
UK Brexit
BROKER-DEALER -
SEC and CFTC Approve New MOU -
On June 28, the Securities and Exchange Commission and Commodity Futures Trading Commission announced the approval of a new Memorandum of Understanding (MOU) aimed at...more
SEC/CORPORATE -
SEC Division of Corporation Finance Issues C&DIs on Proxy Rules and Proxy Statements, Overhauling Telephone Interpretations Manual -
On May 11, the staff of the Division of Corporation Finance of the...more
SEC/CORPORATE -
SEC Guidance Expanding Exclusions for Non-GAAP Information -
The Securities and Exchange Commission’s Division of Corporation Finance issued two new Compliance and Disclosure Interpretations (C&DI),...more
5/14/2018
/ C&DIs ,
Customer Due Diligence (CDD) ,
EU ,
FinTech ,
Institutional Shareholder Services (ISS) ,
Non-GAAP Financial Measures ,
Portal ,
Recovery Plans ,
Regulation S-K ,
Securities and Exchange Commission (SEC) ,
UK
BROKER-DEALER -
FINRA Seeks Comment on Rule Proposal Regarding High-Risk Brokers -
On May 30, the Financial Industry Regulatory Authority published Regulatory Notice 18-16, which seeks comment on proposed rule...more
BROKER-DEALER -
Nasdaq Has Proposed a New Rule Change To Modify Its System of Volume-Based Credits -
The Nasdaq Stock Market LLC (Nasdaq) has filed with the Securities and Exchange Commission a proposed rule change to...more
4/16/2018
/ Broker-Dealer ,
CCPs ,
Cryptocurrency ,
Derivatives ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
IOSCO ,
MiFID II ,
Nasdaq ,
National Market System (NMS) ,
New Rules ,
Over The Counter Derivatives (OTC) ,
Prudential Regulation Authority (PRA) ,
Record Retention ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
State Securities Regulators ,
Stress Tests ,
Trading Platforms ,
UK ,
UK Brexit
SEC/CORPORATE -
SEC Proposes Budget for Fiscal Year 2019 -
On February 12, the Securities and Exchange Commission issued a press release announcing its budget request for fiscal year 2019, which represents a 3.5 percent...more