News & Analysis as of

Capital Markets Regulation Best Interest

Mayer Brown

REVERSEinquiries Newsletter, Volume 6, Issue 1 - July 1 2025

Mayer Brown on

An Overview of Which Market Disruption Events to Include for the Most Common Asset Classes under a Medium-Term Note Program - A movie scene showing a day in the life of a calculation agent would likely not survive the...more

Paul Hastings LLP

SEC Examination Priorities Signal Capital Markets Enforcement

Paul Hastings LLP on

The Securities and Exchange Commission’s Division of Examinations recently released its 2025 priorities. These identify several new or emerging areas of focus that could be precursors to enforcement actions, such as the use...more

Mayer Brown Free Writings + Perspectives

FINRA Publishes 2022 Report on Its Examination and Risk Monitoring Program

FINRA adds new topics for 2022 and new material to previously covered topics. Overview - On February 9, 2022, the Financial Industry Regulatory Authority, Inc. (“FINRA”) published its 2022 Report on FINRA’s...more

Skadden, Arps, Slate, Meagher & Flom LLP

SEC Enters Election Year Focused on Key Initiatives

As Chairman Jay Clayton’s tenure at the Securities and Exchange Commission (SEC) likely enters its final year — regardless of the outcome of the next presidential election — the SEC remains focused on priorities such as...more

Mayer Brown Free Writings + Perspectives

Insights from Chair Clayton on SEC Priorities

At the Economic Club of New York, in keynote remarks, Chair Clayton reviewed the Securities and Exchange Commission’s recent initiatives.  He highlighted the Commission’s adoption of Regulation Best Interest (Reg BI). ...more

5 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide