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Morrison & Foerster LLP

U.S. SEC Extends Compliance Deadline for Recent Amendments to the Customer Protection Rule

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On June 25, 2025, the U.S. Securities and Exchange Commission (SEC) voted to extend the compliance deadline for recent amendments to Exchange Act Rule 15c3-3 (the “Customer Protection Rule”) to June 30, 2026. The amendments,...more

Orrick, Herrington & Sutcliffe LLP

SEC amends the Broker-Dealer Customer Protection Rule

Orrick, Herrington & Sutcliffe LLP on

On January 13, the SEC published to the Federal Register a final amendments to Rule 15c3-3 – the Broker-Dealer Customer Protection Rule – to require daily reserve calculations for certain large broker-dealers. The...more

K2 Integrity

Pending FinCEN Investment Adviser Rule: Industry Perspective On Next Steps You Should Be Taking

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On 22 August 2024, K2 Integrity hosted a webinar discussing considerations related to the pending anti-money laundering rule (AML) for investment advisers (IAs) from the Financial Crimes Enforcement Network (FinCEN). The...more

Perkins Coie

Market Turmoil Caused by “Run on the Banks” Leads to Trading Halts

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On March 10, 2023, volatility resulting from concerns regarding runs on certain banks triggered trading halts in those banks’ stocks on the New York Stock Exchange (NYSE) and Nasdaq. March 13, 2023, saw additional trading...more

White & Case LLP

Amendments to repurchase agreements regulation published by Banco de México (Banxico)

White & Case LLP on

On June 2, 2020, the following Rule, related to repurchase agreements, was published in the Federal Official Gazette: Rule 19/2020. This Rule is addressed to credit institutions, broker dealers, mutual funds, specialized...more

Latham & Watkins LLP

Singapore Proposes Regulatory Enhancement to Detect Market Abuse

Latham & Watkins LLP on

MAS hopes to strengthen controls on market abuse with new client identification and record keeping requirements for FIs. Key Points: ..In August 2019, the Monetary Authority of Singapore (MAS) proposed four new...more

A&O Shearman

Financial Regulatory Developments Focus - November 2018 #4

A&O Shearman on

In this week’s newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on

Financial Industry Developments - SEC Adopts Final Rules to Facilitate Intrastate and Regional Securities Offerings - On October 26, 2016, the Securities and Exchange Commission adopted rules designed to modernize...more

Perkins Coie

SEC’s Increased Cybersecurity Enforcement and How to Reduce Your Risks

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The SEC announced last week that an investment adviser had agreed to settle charges that it failed to take required steps to protect against and respond effectively to a cybersecurity breach. The action comes on the heels of...more

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