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Corporate & Financial Weekly Digest, Featuring Articles on FINRA's Advice to Firms on Protecting Customers from Online Account...

BROKER-DEALER FINRA - Shares Practices Firms Use to Protect Customers from Online Account Takeover Attempts - On April 11, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 21-18 (Notice) in...more

Corporate & Financial Weekly Digest, Featuring Articles on SEC launches new website page on ESG investing and UK FCA launches new...

BROKER-DEALER - SEC Issues Amendments, Seeks Public Comment on Holding Foreign Companies Accountable Act - On March 24, the Securities and Exchange Commission adopted interim final amendments to implement...more

Corporate & Financial Weekly Digest, Featuring Articles on Fee Changes at FINRA and a MiFID II COVID-19 "Quick Fix"

BROKER-DEALER - FINRA Amends Arbitration Codes to Increase Arbitrator Chairperson Fees and Certain Arbitration Fees - On February 12, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 21-04...more

Corporate & Financial Weekly Digest, Featuring Articles on the CFTC and NFA Extension of COVID-19 Adjustments

BROKER-DEALER - Annual Verification in the FINRA Contact System Due January 27 - The Financial Industry Regulatory Authority (FINRA) requires that each FINRA member complete an annual verification (the Annual...more

Corporate & Financial Weekly Digest, Featuring Articles on the CFTC's Extension of No-Action Relief for Reporting Obligations...

BROKER-DEALER - FINRA Requests Comment on Proposed Proceeding Rule for Failures to Comply With Qualification Examinations Rules of Conduct, Registration Requirements and Eligibility Proceedings Rules - On September 22,...more

Corporate & Financial Weekly Digest, Featuring Articles on FINRA Changes to TRACE Reporting and the European Commission's Latest...

BROKER-DEALER - SEC and FDIC Adopt Final Rule on the Orderly Liquidation of Covered Broker-Dealers Under Dodd-Frank - On July 24, the Securities and Exchange Commission announced that the SEC and the Federal Deposit...more

Corporate & Financial Weekly Digest, Featuring Articles on Breaking News From the CFTC on Non-US CPO Registration Exemption and a...

BROKER-DEALER - SEC Amends CAT NMS Plan - On May 15, the Securities and Exchange Commission adopted amendments to the national market system plan governing the consolidated audit trail (the CAT NMS Plan). The Financial...more

Corporate & Financial Weekly Digest, Featuring Articles on FINRA Updates Guidance on COVID-19 Developments, SEC Publishes FAQ on...

BROKER-DEALER - SEC Announces Formation of Cross-Divisional COVID-19 Market Monitoring Group - On April 24, the Securities and Exchange Commission (SEC) announced the formation of an internal, crossdivision COVID-19...more

Corporate & Financial Weekly Digest, Featuring Articles on SEC Publishes Risk Alerts for Reg BI and Form CRS, CFTC Releases...

SEC Division of Corporation Finance Issues C&DI about Conditional Relief Order and Incorporation by Reference Into Form 10-K - On April 6, the Securities and Exchange Commission’s (SEC) Division of Corporation Finance...more

Corporate & Financial Weekly Digest, Featuring Articles on the Recordkeeping Requirements and Filing Deadline Changes as a Result...

SEC/CORPORATE - SEC Further Extends Filing Deadlines for Companies Impacted by COVID-19 - On March 25, the Securities and Exchange Commission issued an order extending conditional relief (the Modified Order) for...more

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