News & Analysis as of August 21, 2025

Financial Industry Regulatory Authority (FINRA)

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The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange... more +

The Justice Insiders Podcast: Meet the Securities and Exchange (and Human Resources) Commission

Modernizing FINRA Rules for Member Workplaces: A Call for Comments

Morgan Lewis on 4/28/2025

FINRA previously announced in Regulatory Notice 25-04 that it is launching a broad review to modernize its rules regarding member firms and associated persons and identified the modern workplace as its area of initial focus....more

Writing on a New SLATE – DWT's FINRA Expertise

Davis Wright Tremaine LLP on 3/20/2025

The SEC's Rule 10c-1a now mandates the reporting of securities loans, marking a significant regulatory shift. Potential challenges in implementing SLATE, including the need for possible adjustments to data dissemination...more

SEC Approves FINRA Rules to Establish Securities Lending Reporting Facility

WilmerHale on 1/24/2025

On January 2, 2025, the Securities and Exchange Commission (SEC) approved the FINRA Rule 6500 Series (the SLATE Rules), which establishes the Securities Lending and Transparency Engine (SLATE), a new facility for the...more

SEC approves FINRA rule 6500 series requiring securities lending reporting

Eversheds Sutherland (US) LLP on 1/22/2025

On January 2, 2025, the Securities and Exchange Commission (the SEC) published an order approving a proposed rule change filed by the Financial Industry Regulatory Authority, Inc. (FINRA) to adopt the new FINRA Rule 6500...more

FinCEN Proposes Form of Report to Collect Beneficial Ownership Information and Application to Obtain FinCEN Identifiers

Goodwin on 1/27/2023

Regulatory Developments - FinCEN Proposes Form of Report to Collect Beneficial Ownership Information and Application to Obtain FinCEN Identifiers - On January 17, FinCEN proposed a form of report to collect beneficial...more

SEC Proposes Rule Amendments Designed to Expand Access to Private Investment Opportunities

Cadwalader, Wickersham & Taft LLP on 1/23/2020

By a 3-2 vote, the Securities and Exchange Commission (the “SEC”) approved the publication of a release on December 18, 2019, generally expanding the scope of the definitions of “accredited investor” in Rule 501(a) of...more

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