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Securities and Exchange Commission (SEC) › Amended Rules › Regulatory Requirements

Katten Muchin Rosenman LLP

FINRA Aligns CAT Timestamp Requirements with SEC Relief and Extension to 2030

Katten Muchin Rosenman LLP on

The Financial Industry Regulatory Authority (FINRA) is updating Rule 6860(a)(2) so that industry members who use time stamps more granular than nanoseconds must continue to truncate (rather than round) those time stamps at...more

Seward & Kissel LLP

SEC Adopts Data Privacy Rule Amendments to Regulation S-P

Seward & Kissel LLP on

Who may be interested: Investment Companies; Investment Advisers; Broker-Dealers; Transfer Agents - The SEC adopted amendments to Regulation S-P imposing new data privacy and security requirements on broker-dealers,...more

Herbert Smith Freehills Kramer

Requesting Confidential Treatment: SEC Issues Guidance Streamlining the Procedure for Filing Redacted Exhibits

Herbert Smith Freehills Kramer on

On March 20, 2019, the Securities and Exchange Commission (SEC) adopted a series of amendments which seek to simplify the disclosure requirements for some U.S. public companies....more

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