Penelope Christophorou

Penelope Christophorou

Morgan Lewis

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Do SEC Acting Chair’s Remarks Signal a Redux of Government Securities ATS Rulemaking?

On March 10, 2025, Acting Securities and Exchange Commission (SEC) Chair Mark Uyeda indicated in public remarks that he was directing the SEC staff to revisit a 2020 proposal under then-Chair Jay Clayton that, among other...more

3/24/2025  /  Alternative Trading System (ATS) , Broker-Dealer , Capital Markets , Financial Services Industry , Regulation SCI , Regulatory Agenda , Regulatory Requirements , Rulemaking Process , Securities and Exchange Commission (SEC) , Securities Regulation

SEC Adopts New Treasury Clearing Rules

On December 13, 2023, the US Securities and Exchange Commission (SEC) adopted rule amendments (Treasury Clearing Rules) designed to improve risk management in clearance and settlement and to facilitate additional central...more

12/15/2023  /  Broker-Dealer , Financial Institutions , Risk Management , Securities and Exchange Commission (SEC) , Securities Exchange Act
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