Stephen Wink

Stephen Wink

Latham & Watkins LLP

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SEC Proposed Rules: Recordkeeping and Reporting for SBSDs, MSBSPs and BDs; Capital Rules for Certain SBSDs

The SEC has proposed recordkeeping and reporting rules and capital charges for security-based swap dealers based on the current broker-dealer reporting and recordkeeping regime. Market participants in the derivatives...more

6/6/2014 - Broker-Dealer Compliance MSBSPs Recordkeeping Requirements SEC Security-Based Swaps Stand-Alone SBSDs Swap Dealers Swaps

SEC Approves Significant Amendments to FINRA Rules 5110 and 5121

The amendments simplify and refine the scope of FINRA’s corporate financing and conflict of interest rules in several important respects. The Securities and Exchange Commission (SEC) recently approved two proposals...more

5/23/2014 - Banks Compliance Corporate Governance Financial Regulatory Reform FINRA SEC

FINRA’s Proposed Limited Broker Regime Falls Short of Private Fund Needs

FINRA proposes a new “lite” registration regime for private placements and M&A activity. The Financial Industry Regulatory Authority’s (FINRA) recently issued Regulatory Notice regarding proposed rules (Proposed...more

3/20/2014 - Brokers FINRA Private Funds Securities Exchange Act

A More Practical Approach to Broker-Dealer Registration

Recent SEC no-action letter provides business brokers relief from federal broker-dealer registration requirement. On January 31, 2014, the Division of Trading and Markets of the U.S. Securities and Exchange Commission...more

2/19/2014 - Broker-Dealer Brokers No-Action Letters SEC Securities Exchange Act

Recent SEC Enforcement Actions Put Spotlight On Prohibited Short Selling

Recent SEC enforcement actions demonstrate the SEC’s increased focus on violations of Rule 105 of Regulation M. On September 17, 2013, the Securities and Exchange Commission (the SEC) announced enforcement actions...more

10/7/2013 - Compliance Enforcement Actions Regulation M SEC Short Sales

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