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
BROKER-DEALER -
CBOE Proposes Amendments to Rule 6.49A Concerning Off-Floor Position Transfers Including RWA Transfers -
CBOE Exchange, Inc. (CBOE) recently filed a proposal to amend its Rule 6.49A to amend provisions...more
7/29/2019
/ AML/CFT ,
Banking Sector ,
Basel Committee on Banking Supervision (BCBS) ,
Broker-Dealer ,
CBOE ,
CFTC ,
Commodity Exchange Act (CEA) ,
Derivatives ,
Derivatives Clearing Organizations ,
EU ,
European Commission ,
FinCEN ,
IOSCO ,
Proposed Amendments ,
UK
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 -
President-Elect Trump Nominates Clayton as SEC Chair -
On January 4, President-elect Donald Trump announced his nomination of Jay Clayton to serve as chair of the Securities and Exchange Commission,...more
1/9/2017
/ Derivatives Clearing Organizations ,
Equity Plans ,
EU ,
European Securities and Markets Authority (ESMA) ,
Examination Priorities ,
FFIEC ,
Forex ,
Institutional Shareholder Services (ISS) ,
MiFID II ,
No-Action Relief ,
Trump Administration ,
UK Brexit
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)
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
SEC/CORPORATE -
ISS Releases 2016 Draft Voting Policy Changes for Comment -
On October 26, Institutional Shareholder Services (ISS), a leading proxy advisory firm, released for comment draft voting policy changes...more
11/2/2015
/ Banking Examinations ,
Board of Directors ,
CFTC ,
Clearing Agencies ,
Derivatives Clearing Organizations ,
Directors ,
Federal Reserve ,
Financial Conduct Authority (FCA) ,
HMRC ,
Institutional Shareholder Services (ISS) ,
Publicly-Traded Companies ,
Registration Requirement ,
Rule 14a-8 ,
Securities and Exchange Commission (SEC) ,
Senior Managers Insurers Regime (SMIR) ,
Shareholder Proposals ,
Shareholders
SEC/CORPORATE -
ISS Publishes Results of 2015–2016 Annual Global Policy Survey -
On September 28, Institutional Shareholder Services (ISS), a leading proxy advisory firm, published the results of its 2015–2016...more
10/5/2015
/ Banks ,
Broker-Dealer ,
Bylaws ,
CEOs ,
CFTC ,
Consumer Financial Protection Bureau (CFPB) ,
Consumer Lenders ,
Corporate Governance ,
Derivatives ,
Derivatives Clearing Organizations ,
Director Compensation ,
EU ,
European Securities and Markets Authority (ESMA) ,
FFIEC ,
Financial Industry Regulatory Authority (FINRA) ,
GAAP ,
Independent Boards ,
Institutional Shareholder Services (ISS) ,
Liquidity Risk Management Rule ,
Proxy Access Rule ,
Proxy Season ,
Regulation Technical Standards (RTS) ,
Securities and Exchange Commission (SEC) ,
Swaps ,
Trade Market Abuse
SEC/CORPORATE -
SEC Advisory Committee on Small and Emerging Companies Makes Recommendations -
On September 23, the Securities and Exchange Commission Advisory Committee on Small and Emerging Companies (Advisory...more
9/28/2015
/ ACH Payments ,
Asset Diversification ,
Banking Sector ,
Broker-Dealer ,
CFTC ,
Derivatives ,
Derivatives Clearing Organizations ,
Emerging Growth Companies ,
FDIC ,
Financial Conduct Authority (FCA) ,
Finders ,
Investment Funds ,
IRS ,
Mutual Funds ,
Registration Requirement ,
Rule 147 ,
SEC Advisory Committee ,
Securities and Exchange Commission (SEC) ,
Supervision ,
U.S. Treasury ,
UK