BROKER-DEALER -
Nasdaq Proposes Rule Change to SEC to Assume Operational Responsibility for Certain Investigation and Enforcement Functions Currently Performed by FINRA -
On April 3, the Securities and Exchange...more
4/8/2019
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Broker-Dealer ,
CFTC ,
Corporate Governance ,
EU ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Memorandum of Understanding ,
Nasdaq ,
No-Action Letters ,
No-Action Relief ,
No-Deal Brexit ,
Securities and Exchange Commission (SEC) ,
SEFs ,
UK ,
UK Brexit
BROKER-DEALER -
FINRA Proposes Rule Change Relating to Rule 4512 (Customer Account Information)
On November 28, the Financial Industry Regulatory Authority filed a proposed change to Rule 4512(a)(3) (Customer Account...more
12/10/2018
/ Corporate Governance ,
ECON ,
EMIR ,
EU ,
Nasdaq ,
Privacy Notice Rule ,
Proposed Amendments ,
Proxy Season ,
Securitization ,
SEFs ,
Swaps ,
UK ,
UK Brexit
EU /BREXIT DEVELOPMENTS -
EEA Passport Rights Regulations 2018 Published -
On November 7, the European Economic Area (EEA) Passport Rights (Amendment, etc., and Transitional Provisions) (EU Exit) Regulations 2018...more
11/12/2018
/ CFTC ,
Consultation ,
Derivatives ,
EMIR ,
EU ,
EU Passport ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
MLD4 ,
SEFs ,
UK ,
UK Brexit ,
Uncleared Swaps
CFTC -
CFTC Approves Exemption From SEF Registration Requirements for Multilateral Trading Facilities and Organized Trading Facilities Authorized Within the EU -
On December 8, in response to a request by the European...more
12/18/2017
/ Commodities ,
Consultation ,
Derivatives ,
EU ,
EU Benchmark Regulation ,
Financial Conduct Authority (FCA) ,
MiFID II ,
MiFIR ,
SEFs ,
Senior Management Regime (SMR) ,
Sovereign Debt ,
Third Country Entities (TCEs)
CFTC -
CFTC Extends Previously Granted No-Action Relief for Swap Dealers Complying With EU Requirements -
On April 18, the Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight...more
BROKER-DEALER -
FINRA Issues Regulatory Notice on GASB Accounting Support Fee -
The Financial Industry Regulatory Authority announced that it will collect a total of $8,309,000 in 2017 from its member firms as part...more
SEC/CORPORATE -
SEC Proposes Amendments To Require Universal Proxy Cards in Contested Elections -
On October 26, the Securities and Exchange Commission voted to propose amendments to the proxy rules that would...more
SEC/CORPORATE –
SEC Division of Corporation Finance Issues C&DIs on Application of Rule 701 –
On June 23, the Staff of the Division of Corporation Finance (Staff) of the Securities and Exchange Commission...more
7/11/2016
/ Associated Persons ,
C&DIs ,
Chapter 11 ,
Credit Default Swaps ,
Economic Sanctions ,
EU ,
Financial Industry Regulatory Authority (FINRA) ,
Golden Leash Arrangements ,
Lehman Brothers ,
Mergers ,
MiFIR ,
Popular ,
SEFs ,
Smaller Reporting Companies ,
Stock Float ,
Suspicious Activity Reports (SARs) ,
UK ,
UK Brexit
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
On February 24, the International Swaps and Derivatives Association Inc. (ISDA) published Principles for US/EU Trading Platform Recognition (Principles), which set out certain key principles and policy considerations that...more
In this issue:
- SEC Committee to Focus on the Order Protection Rule at Upcoming Meeting
- CFTC Issues No-Action Relief to SEFs and DCMs in Connection with Swaps with Operational or Clerical Errors
- CFTC...more
In this issue:
- ISS Launches New Equity Plan Data Verification Portal
- ISDA Publishes Protocol for 2014 Credit Derivatives Definitions
- FinCEN Issues Advisories for US Financial Institutions
-...more
8/25/2014
/ CFTC ,
Class Action ,
Class Certification ,
Compliance ,
Contests & Promotions ,
Derivatives ,
EMIR ,
Equity Plans ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
FinCEN ,
Fraud ,
Institutional Shareholder Services (ISS) ,
ISDA ,
Judge Rakoff ,
OCC ,
Rule 10(b) ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
SEFs ,
Social Media ,
Swap Dealers ,
Swaps
On April 9, 2014, the Division of Market Oversight (DMO) and Division of Swap Dealer and Intermediary Oversight (DSIO) (together, the Divisions) of the United States Commodity Futures Trading Commission (CFTC) issued...more