BROKER-DEALER -
FINRA Releases Targeted Examination Letter for No Commission Brokers -
On February 20, the Financial Industry Regulatory Authority (FINRA) released a targeted examination letter requesting that certain...more
3/2/2020
/ Bitcoin ,
CFTC ,
Derivatives ,
Derivatives Clearing Organizations ,
European Central Bank ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Swap Data Repositories ,
UGMA ,
UK ,
UTMA
SEC/CORPORATE -
SEC Division of Corporation Finance Issues C&DIs Regarding Notices of Exempt Solicitation -
On July 31, the staff of the Division of Corporation Finance (the Staff) of the Securities and Exchange...more
8/13/2018
/ Board of Directors ,
C&DIs ,
Corporate Governance ,
Derivatives Clearing Organizations ,
EU ,
Financial Conduct Authority (FCA) ,
MiFID II ,
MiFIR ,
National Futures Association ,
UK ,
UK Brexit ,
Virtual Currency
SEC/CORPORATE -
SEC Amends the Definition of “Smaller Reporting Company” -
On June 28, the Securities and Exchange Commission announced that it adopted amendments to the definition of “smaller reporting company,” which...more
7/23/2018
/ Alternative Trading System (ATS) ,
Bitcoin ,
Corporate Governance ,
Derivatives Clearing Organizations ,
EU Benchmark Regulation ,
Risk Alert ,
Rule 701 ,
Securities Exchange Act ,
Smaller Reporting Companies ,
Sovereign Debt ,
UK Brexit ,
Virtual Currency ,
Volcker Rule
BROKER-DEALER -
FINRA Issues Notice Regarding Disruptive Quoting and Trading Activity Rule Changes -
On June 7, the Financial Industry Regulatory Authority published Regulatory Notice 17-22, which addresses two rule...more
SEC/CORPORATE -
SEC Division of Corporation Finance Issues Revised and Additional C&DIs Relating to Form S-8 -
On November 9, the Division of Corporation Finance of the Securities and Exchange Commission issued two...more
11/21/2016
/ Banking Sector ,
Broker-Dealer ,
C&DIs ,
CCPs ,
CFTC ,
Derivatives Clearing Organizations ,
EMIR ,
EU ,
European Securities and Markets Authority (ESMA) ,
FDIC ,
Proxy Season ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
SRO ,
Stress Tests
SEC/CORPORATE -
DC Circuit Court Rejects States’ Challenge of Blue Sky Preemption Under Regulation A+ -
On June 14, the Federal Court of Appeals for the District of Columbia (the DC Circuit) rejected challenges...more
6/20/2016
/ Blue Sky Laws ,
Central Counterparties ,
Credit Default Swaps ,
Derivatives Clearing Organizations ,
Futures ,
Margin Requirements ,
No-Action Relief ,
Preemption ,
Regulation A ,
Reporting Requirements ,
Third Country Entities (TCEs)
CFTC -
CFTC Approves Final Rule Eliminating Certain Reporting and Recordkeeping Requirements for Trade Option End-Users -
On March 16, the Commodity Futures Trading Commission unanimously approved a final rule...more
SEC/CORPORATE -
SEC Approves FINRA’s Funding Portal Rules -
On January 22, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority’s funding portal rules and related forms for...more
On August 27, the European Securities and Markets Authority (ESMA) published a discussion paper (Discussion Paper) on the review of Article 26 of ESMA’s Regulatory Technical Standards (153/2013) (RTS) under the European...more
On August 6, the European Commission (EC) adopted new rules in the form of a delegated regulation (Delegated Regulation) requiring the mandatory clearing of certain over-the-counter (OTC) interest rate derivatives contracts...more
SEC Finalizes Rule on Pay Ratio Disclosure -
On August 5, the Securities and Exchange Commission adopted the final rule regarding pay ratio disclosure that amends Item 402 of Regulation S-K to implement Section 953(b)...more
8/10/2015
/ Broker-Dealer ,
Derivatives Clearing Organizations ,
Disclosure Requirements ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Industry Regulatory Authority (FINRA) ,
Greece ,
NASD ,
Pay Ratio ,
Proxy Access Rule ,
Regulation S-K ,
Securities and Exchange Commission (SEC) ,
UK
Commodity Futures Trading Commission Chairman Timothy Massad, and Jonathan Hill, European Commissioner for Financial Stability, Financial Services and Capital Markets Union, released a joint statement on May 7 relating to the...more
In this issue:
- SEC Division of Corporation Finance Issues New C&DI Related to Rule 147 and Website/Social Media Use
- Director of SEC Division of Corporation Finance Gives Speech on Securities...more
10/13/2014
/ Bitcoin ,
CFTC ,
Derivatives ,
Derivatives Clearing Organizations ,
Disclosure ,
Disclosure Requirements ,
Financial Industry Regulatory Authority (FINRA) ,
Internet ,
Over The Counter Derivatives (OTC) ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Social Media ,
TRACE ,
Virtual Currency ,
Waivers ,
Websites