Shekida Smith-Sandy

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Latest Posts › Coronavirus/COVID-19

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FINRA and CFTC Staff Issue COVID-19 Advisories on Commodity-Linked ETPs and Funds

In the wake of severe market volatility resulting from the COVID-19 pandemic, self-regulatory organizations and government agencies continue to provide guidance analyzing and interpreting the effects of the pandemic on market...more

6/9/2020 / Broker-Dealer , CFTC , Coronavirus/COVID-19 , Exchange-Traded Products , Financial Industry Regulatory Authority (FINRA) , Government Agencies , Regulation BI , Securities and Exchange Commission (SEC) , Self-Regulatory Organizations

SEC Issues Conditional Exemptive Relief Related to Broker-Dealer CAT Reporting Timelines

The U.S. Securities and Exchange Commission (SEC) announced on April 20, 2020, that it had voted to issue two exemptive orders relating to the implementation of the National Market System Plan Governing the Consolidated Audit...more

5/1/2020 / Broker-Dealer , Consolidated Audit Trail , Coronavirus/COVID-19 , Exemptive Orders , National Market System (NMS) , Relief Measures , Securities and Exchange Commission (SEC) , Securities Exchange Act

OCIE Issues Risk Alert on Upcoming Regulation Best Interest Examinations

The U.S. Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a risk alert (the risk alert) on April 7, 2020, regarding examinations that will focus on broker-dealers’...more

4/21/2020 / Coronavirus/COVID-19 , Investment Management , OCIE , Regulation Best Interest , Securities and Exchange Commission (SEC)

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