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Capital Markets › Public Comment › Broker-Dealer

Mayer Brown Free Writings + Perspectives

FINRA Will Not Set an Effective Date for Amendments to TRACE Rules Establishing One-Minute Reporting Requirement; FINRA to Prepare...

Mayer Brown Free Writings + Perspectives on

On February 5, 2025, Robert Cook, President and Chief Executive Officer of the Financial Industry Regulatory Industry, Inc. (“FINRA”), announced that FINRA will not set an effective date for its recent amendments (the...more

Goodwin

SEC Outlook: Potential Updates Under Nominated Chairman Atkins

Goodwin on

The SEC currently has several notable rule proposals that have received public comment but have not yet been finalized. The potential direction of these proposals is likely to be influenced by the leadership of the new SEC...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on SEC Private Securities Offering Exemptions, NFA Surcharge Notice and...

Katten Muchin Rosenman LLP on

BROKER-DEALER - SEC Requests Public Comment on Improving Private Security Offering Exemptions - On June 18, the Securities and Exchange Commission requested public comment on ways to simply harmonize and improve the...more

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