Deborah Tuchman

Deborah Tuchman

Skadden, Arps, Slate, Meagher & Flom LLP

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"The SEC Proposes FINRA Regulation for High-Frequency Traders"

The Securities and Exchange Commission (the “SEC”) recently proposed an amendment to Rule 15b9-1 under the Securities Exchange Act of 1934 (the “Exchange Act”). The proposed amendment (the “Proposed Amendment”) would require...more

5/27/2015 - Broker-Dealer FINRA High Frequency Trading Rule 15B9-1 SEC Section 15(b)8 Securities Exchange Act

"FINRA Provides Guidance on Effective Supervision and Control Practices for Firms Engaging in Algorithmic Trading Strategies"

The Financial Industry Regulatory Authority (“FINRA”) issued a regulatory notice (the “Notice”) in March 2015 that provides guidance on effective supervision and control practices for firms engaging in algorithmic trading...more

5/5/2015 - Algorithmic Trading FINRA Market Access Rule Regulation NMS Regulation SCI Regulation SHO Rule 5210 SEC Software

"SEC Provides No-Action Relief to M&A Brokers in Connection With Broker-Dealer Registration Requirements"

On January 31, 2014, the Division of Trading and Markets (the “Division”) of the Securities and Exchange Commission (the “SEC”) issued a no-action letter (as revised on February 4, 2014, the “No-Action Letter”) that permits...more

2/19/2014 - Broker-Dealer Compliance No-Action Letters Registration SEC Securities Act of 1933 Securities Exchange Act

The Volcker Rule: A First Look at Key Changes

On December 10, 2013, five U.S. financial regulators (the Agencies) adopted a final rule implementing the Volcker Rule. The text of the final rule and its accompanying preamble are available here. The Volcker Rule was created...more

12/12/2013 - Asset-Backed Securities Banks CEOs Dodd-Frank Exemptions Hedge Funds Market Making Private Equity Reporting Requirements Sovereign Debt Volcker Rule

"US Financial Regulators Issue Final Volcker Rule"

Yesterday, U.S. financial regulators issued the final Volcker Rule. The Volcker Rule implements provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act that prohibit banking organizations from engaging in...more

12/11/2013 - Dodd-Frank Financial Regulatory Reform Volcker Rule

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