BROKER-DEALER -
CBOE Exchange Proposes to Temporarily Extend the Filing Deadline for Certain Supervision-Related Reports -
On June 1, Cboe Exchange, Inc. (Cboe) filed with the Securities and Exchange Commission a...more
BROKER-DEALER -
SEC Extends Compliance Date for Regulation NMS Changes -
The Securities and Exchange Commission has extended the compliance dates for amendments to Rule 606 of Regulation National Market System (NMS)...more
5/6/2019
/ Broker-Dealer ,
CBOE ,
CFTC ,
Derivatives ,
EMIR ,
EU ,
Fake Websites ,
FBI ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
IOSCO ,
National Market System (NMS) ,
Securities and Exchange Commission (SEC) ,
Swap Data Repositories ,
Swap Dealers ,
Websites
BROKER-DEALER -
SEC Commissioner Jackson Gives Speech Regarding the State of America’s Stock Exchanges -
On September 19, Commissioner Robert J. Jackson, Jr. of the Securities and Exchange Commission gave a speech...more
In this issue:
- CBOE Proposes to Offer Extended Trading Hours for SPX and VIX Options
- CFTC Staff to Host Public Roundtable on Recovery and Orderly Wind-Down of DCOs
- CFTC Reopens Comment Period for...more
In this issue:
- SEC Advisory Committee on Small and Emerging Companies to Discuss “Accredited Investor” Definition
- Glass Lewis Enhances its Pay-for-Performance and Equity Plan Models
- SEC Issues New...more
2/9/2015
/ Accredited Investors ,
CBOE ,
Cybersecurity ,
Emerging Growth Companies ,
Enforcement Actions ,
Equity Plans ,
European Securities and Markets Authority (ESMA) ,
Exchange Offer ,
Federal Reserve ,
Financial Industry Regulatory Authority (FINRA) ,
Glass Lewis ,
Pay-for-Performance ,
Ponzi Scheme ,
Private Student Loans ,
Proposed Amendments ,
Securities and Exchange Commission (SEC) ,
Small Business ,
Tender Offers
In this issue:
- Bylaw of Delaware Corporation Providing for Exclusive Forum in North Carolina Upheld
- FINRA Board to Consider Rule Proposals Regarding Private Trading Platforms
- CBOE and C2 in...more
9/15/2014
/ AIFM ,
Alternative Investment Fund Managers Directive (AIFMD) ,
Banks ,
Bitcoin ,
CBOE ,
CFTC ,
Commodity Pool ,
Compliance ,
Consumer Financial Protection Bureau (CFPB) ,
CPO ,
Cross-Border ,
Exclusive Jurisdiction ,
False Claims Act (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Forum ,
ISDA ,
JOBS Act ,
Jurisdiction ,
Over The Counter Derivatives (OTC) ,
Regulation M ,
Regulation Z ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
Swap Dealers ,
Swaps ,
UK