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
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
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
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
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