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
SEC/CORPORATE -
SEC Approves Extension of Temporary NYSE Waiver of Stockholder Approval Rules -
Recently, the Securities and Exchange Commission issued a release (the Release) approving, with immediate effectiveness,...more
BROKER-DEALER -
FINRA Announces Updates to Interpretations of Margin Rule Regarding Control and Restricted Securities and Consolidation of Accounts -
On July 2, the Financial Industry Regulatory Authority (FINRA) issued...more
SEC/CORPORATE -
SEC Division of Corporation Finance Issues Additional Disclosure Guidance Related to COVID-19 Pandemic -
On June 23, the Division of Corporation Finance (the Division) of the Securities and Exchange...more
6/29/2020
/ CFTC ,
EU ,
False Claims Act (FCA) ,
FDIC ,
HM Treasury ,
NFA ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC) ,
UK ,
UK Brexit ,
Volcker Rule
BROKER-DEALER -
SEC Chairman Clayton Provides Public Statement Regulation Best Interest and Form CRS -
On June 15, Securities and Exchange Commission Chairman Jay Clayton made a public statement (Statement) covering...more
BROKER-DEALER -
FINRA Revises Problem Codes for Reporting Customer Complaints and for Filing Documents Online -
On June 10, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 20-17, which...more
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
BROKER-DEALER -
FINRA Proposes Rule Change to Temporarily Amend Certain Timing, Method of Service and Other Procedural Requirements in FINRA Rules -
On May 8, the Financial Industry Regulatory Authority (FINRA) filed...more
SEC/CORPORATE -
SEC Division of Corporation Finance Issues Four FAQs Addressing the SEC’s Conditional Relief Order -
On May 4, the Securities and Exchange Commission’s Division of Corporation Finance (the Division)...more
BROKER-DEALER -
FINRA Updates Guidance Regarding COVID-19 Developments -
In recent weeks, the Financial Industry Regulatory Authority (FINRA) has offered various forms of relief and published information in response to...more
SEC/CORPORATE -
SEC Approves Temporary NYSE Waiver of Stockholder Approval Rules to Facilitate Capital Raising in the Wake of COVID-19 -
On April 6, the Securities and Exchange Commission issued a release (the Release)...more
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
SEC/CORPORATE -
SEC Approves Amended Rule Change to FINRA Rule 5110 -
On December 23, 2019, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority’s (FINRA) proposed amendments to...more
1/20/2020
/ Amended Rules ,
Auditor Independence ,
Broker-Dealer ,
CFTC ,
Disclosure Requirements ,
EU ,
FDIC ,
Filing Requirements ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
OCC ,
Securities and Exchange Commission (SEC)
BROKER-DEALER -
CBOE Proposes Amendments to Rule 6.49A Concerning Off-Floor Position Transfers Including RWA Transfers -
CBOE Exchange, Inc. (CBOE) recently filed a proposal to amend its Rule 6.49A to amend provisions...more
7/29/2019
/ AML/CFT ,
Banking Sector ,
Basel Committee on Banking Supervision (BCBS) ,
Broker-Dealer ,
CBOE ,
CFTC ,
Commodity Exchange Act (CEA) ,
Derivatives ,
Derivatives Clearing Organizations ,
EU ,
European Commission ,
FinCEN ,
IOSCO ,
Proposed Amendments ,
UK
BROKER-DEALER -
FINRA Publishes Notice to Members Encouraging Continued Disclosure of Digital Assets Activities –
On July 18, the Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 19-24...more
7/22/2019
/ Broker-Dealer ,
Cryptocurrency ,
Digital Assets ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Markets ,
New Guidance ,
Proposed Rules ,
Public Offerings ,
Reporting Requirements ,
Virtual Currency
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 -
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