BROKER-DEALER -
FINRA Releases an Updated Security Futures Risk Disclosure Statement -
On August 14, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 20-28 that included an updated Security...more
BROKER-DEALER -
SEC Proposes to Modernize Infrastructure for NMS Securities Market Data -
On February 14, the Securities and Exchange Commission proposed to modernize the infrastructure for the collection,...more
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 -
Amended FINRA Registration Rules To Take Effect October 1 -
Amended Financial Industry Regulatory Authority registration, qualification and continuing education rules will become effective on October 1....more
9/10/2018
/ CFTC ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Industry Regulatory Authority (FINRA) ,
MiFIR ,
NFA ,
Registration Requirement ,
Regulation Technical Standards (RTS) ,
Swaps ,
Volcker Rule
BROKER-DEALER -
FINRA Requests Comment on Revised Price Disclosure Information Standards for Corporate and Agency Debt Securities -
The Financial Industry Regulatory Authority issued a regulatory notice...more
10/19/2015
/ AIFM ,
Alternative Investment Fund Managers Directive (AIFMD) ,
Broker-Dealer ,
CFTC ,
Commodity Exchange Act (CEA) ,
Debt Securities ,
Disclosure Requirements ,
Dividends ,
EU ,
European Commission ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Regulatory Reform ,
Investment Funds ,
NFA ,
No-Action Relief ,
OCC ,
Proposed Regulation ,
Swaps ,
Withholding Tax
In This Issue:
- SEC Staff Releases Analysis Related to Pay Ratio Disclosure Rules
- States Challenge Blue Sky Preemption Under Regulation A+
- FINRA Proposes Revised BrokerCheck Hyperlink Rule
-...more
6/8/2015
/ Blue Sky Laws ,
BrokerCheck ,
Capital Markets ,
CFTC ,
Clawbacks ,
Disclosure Requirements ,
EU ,
European Commission ,
Executive Compensation ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Hedge Funds ,
Investment Adviser ,
National Futures Association ,
NFA ,
Preemption ,
Public Comment ,
Regulation A ,
Securities and Exchange Commission (SEC) ,
Total Shareholder Return (TSR)
In this issue:
- US Court of Appeals for the District of Columbia Circuit Grants Petition for Rehearing of Decision on Conflicts Minerals Rule
- Register for Our 2015 Proxy Season Update Webinar
- SEC...more
11/24/2014
/ Amnesty International ,
Appeals ,
CFTC ,
Conflict Mineral Rules ,
Crowdfunding ,
Disclosure Requirements ,
EU ,
European Commission ,
False Claims Act (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
FinCEN ,
Fixed Income Investments ,
Forward Contract Exclusion ,
Forward Contracts ,
MSRB ,
Proxy Season ,
Proxy Voting Guidelines ,
Securities and Exchange Commission (SEC) ,
Swap Dealers