Wesley Nissen

Wesley Nissen

DLA Piper

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The Financial Report - Volume 4, No. 7 • April 2015 (Global)

Discussion and Analysis - Last week, the Securities and Exchange Commission proposed to amend SEC Rule 15b9-1 under the Securities Exchange Act of 1934, which exempts certain broker-dealers from membership in a...more

4/8/2015 - AIFMD Algorithmic Trading Anti-Money Laundering ASIC Broker-Dealer Capital Formation CCO CFTC Cross-Border EBA EMIR Enforcement Actions ESMA FCA FCMs FINRA Hong Kong IOSCO ISDA MiFID NFA OTC PRA Regulation A Resource Extraction Rule 15B9-1 SEC Securities Singapore Swaps UK

SEC proposes requiring FINRA membership for exchange-member-only broker-dealers

The Securities and Exchange Commission has published a proposal to amend SEC Rule 15b9-1 under the Securities Exchange Act of 1934, as amended, which exempts certain broker-dealers from membership in a registered national...more

4/2/2015 - Broker-Dealer Exemptions FINRA Hedging High Frequency Trading Rule 15B9-1 SEC Securities Exchange Act

The Financial Report - Volume 4, No. 5 • March 2015 (Global)

Discussion and Analysis - In “Conflicts, Conflicts Everywhere,” her speech at the recent IA Watch 17th Annual Compliance Conference, Julie M. Riewe, Co-Chief of the Securities and Exchange Commission Enforcement...more

3/6/2015 - Asia Pacific CFTC Conflicts of Interest ESMA Examination Priorities Financial Markets Hong Kong OCIE Regulatory Agenda SEC Securities Strategic Enforcement Plan

The Financial Report -Volume 4, No. 4 • February 2015 (Global)

US Judicial Developments - Receiver can be subject to arbitration. The court-appointed receiver for hedge funds used as part of a Ponzi scheme sued the scheme’s “net winners” in an effort to claw back their gains....more

2/24/2015 - Appeals Arbitration Australia Canada CFTC Clawbacks Clearing Agencies Corporate Governance Crowdfunding ESMA Financial Markets Oil & Gas Oil Prices Regulatory Agenda SEC Securities U.S. Treasury

The Financial Report - Volume 4, No. 3 • February 2015 (Global)

Discussion and Analysis - One of the most famous routines of the late great comedian George Carlin commented on the differences between baseball and football. He said, “Baseball is a nineteenth-century pastoral game....more

2/10/2015 - Asia Asia Pacific Banking Sector Banks Canada Canadian Securities Administration CFTC ESMA EU Federal Reserve Financial Markets Foreign Exchanges Foreign Markets Regulatory Agenda Regulatory Standards SEC Self-Regulatory Organizations Stock Exchange

The Financial Report - Volume 4, No. 2 • January 2015 (Global)

Discussion and Analysis - Last week, several of the world’s largest banks and brokerage firms lost hundreds of millions of dollars when the Swiss franc surged suddenly and surprisingly against the euro. It is eerily...more

1/27/2015 - Banking Sector Banks CFTC China Competition Act Cooperation Agreement Debentures Dodd-Frank ERISA EU Financial Institutions Financial Markets Foreign Currency Forex Hong Kong NFA Singapore UK

The Financial Report (Global) - Volume 4, No. 1 • January 2015

News from the Americas - Non-bank SIFI designated. The US Financial Stability Oversight Council designated MetLife Inc. as a systemically important non-bank financial institution. (12/19/2014) Treasury Department press...more

1/13/2015 - Banking Examinations CFTC EU FINRA FSOC MetLife Nonbank Firms SEC SIFIs U.S. Treasury

The Financial Report - Volume 3, No. 22 • December 11, 2014 (Global)

Discussion and Analysis - Earlier this week, The Wall Street Journal published a special Journal Report entitled “CEO Council.” The tag line for the report ominously states: “At the annual meeting of The Wall Street...more

12/14/2014 - EU Financial Markets Legislative Agendas Regulatory Agenda

The Financial Report - Volume 3, No. 21 • November 2014 (Global)

Criminal securities fraud charges filed against Bitcoin operator. US federal prosecutors filed the first criminal securities fraud charges involving a virtual currency. Trendon Shavers, who founded Bitcoin Savings and...more

11/18/2014 - Asia Pacific Bitcoin CFTC Criminal Prosecution Crowdfunding Election Results Enforcement Actions ESMA EU European Banking Authority High Frequency Trading Risk Retention SEC U.S. Treasury

The Financial Report - Volume 3, No. 20 • October 16, 2014 (Global)

Compliance template for Exchange Act Rule 17a-5(f)(2). The Financial Industry Regulatory Authority has made available a new template and guidance for members electronically filing the statement required by Securities...more

10/17/2014 - ASIC Banks Basel Committee Canadian Securities Administration CFTC ESMA European Banking Authority Federal Reserve Financial Conduct Authority Financial Markets Hong Kong IOSCO Prudential Regulation Authority REITS SEC Singapore U.S. Treasury

The Financial Report - Volume 3, No. 19 • October 2014 (Global)

News from the Americas - Securities enforcement by state regulators. The US North American Securities Administrators Association published its annual enforcement survey. It noted a significant increase in the amount of...more

10/6/2014 - ASIC CFTC Compliance Dodd-Frank EMIR Enforcement Enforcement Actions ESMA EU Financial Regulatory Reform Fraud Insider Trading JOBS Act NASAA SEC Securities Fraud Securities Litigation UK

The Financial Report, Volume 3, Number 18 (Global)

Discussion and Analysis - Last Tuesday, the United States District Court for the District of Columbia mostly upheld the Commodity Futures Trading Commission’s authority to regulate cross-border derivatives trading. The...more

9/23/2014 - Banks CFTC Compliance Cross-Border Derivatives Dodd-Frank Financial Regulatory Reform ISDA SEC SIFMA Swaps

The Financial Report - Volume 3, No. 17 • September 2014 (Global)

Discussion and Analysis - The Securities and Exchange Commission currently is reevaluating the definition of what constitutes an “accredited investor,” the standard for determining who is...more

9/5/2014

The Financial Report - Volume 3, No. 16 • August 21, 2014 (Global)

Discussion and Analysis - Recently, we’ve been thinking a lot about crowds. Most sources define the term “crowds” as a large group of people gathered closely together or with something in common. The Merriam-Webster...more

8/22/2014 - Audits Australia Broker-Dealer Crowdfunding Derivatives EU FDIC Federal Reserve Financial Conduct Authority Mutual Funds Redemption Gates RMBS SEC UK

The Financial Report - Volume 3, No. 15 • August 2014 (Global)

US Judicial Developments - Securities fraud litigation practices. The US Court of Appeals for the Ninth Circuit held that a party does not violate the automatic discovery stay found in the Private Securities Litigation...more

8/8/2014 - CFTC China Discovery DOJ EU Federal Reserve PLSRA SEC Self-Regulatory Organizations Subpoenas

The Financial Report - Volume 3, No. 14 • July 24, 2014 (Global)

Discussion and Analysis - Monday of this week was the fourth anniversary of the signing of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Like all anniversaries, it is a time for looking back. As would...more

7/25/2014 - Audits Bank Holding Company Banking Sector Banks Canadian Securities Administration CFTC Derivatives Dodd-Frank EU European Banking Authority Federal Reserve Financial Institutions High Frequency Trading Hong Kong REIT Reporting Requirements SEC Shareholder Rights

The Financial Report - Volume 3, No. 13 • July 10, 2014 (Global)

Discussion and Analysis - On Tuesday of this week, The Wall Street Journal celebrated the 125th anniversary of the publication of its first edition. The last page of the special anniversary supplement to the July 8,...more

7/14/2014 - Canada CFTC EU Latin America OSC SEC U.S. Treasury

The Financial Report - Volume 3, No. 11 • June 5, 2014 (Global)

Discussion and Analysis - FINRA recently simplified two rules that are critical in the public offering process. FINRA’s Corporate Financing Rule generally regulates underwriting compensation and prohibits unfair...more

6/9/2014 - Anti-Money Laundering Asia Australia Canada Compliance Confidential Information Conflicts of Interest ETFs FINRA Hong Kong Public Offerings Securities SIFIs

The Financial Report - Volume 3, No. 10 • May 2014 (Global)

News from the Americas - High-speed trading. Bloomberg discussed US Senate Agriculture Committee hearings on high-speed trading. Former CFTC economist Andrei Kirilenko said that new books and records requirements and...more

5/16/2014 - Banks Books & Records CFTC Commodity Pool Compliance Conflict Mineral Rules CPO ESMA EU European Banking Authority FCA FDIC Federal Reserve FINRA FSOC High Frequency Trading Mandatory Clearing Requirements Recordkeeping Requirements SEC UK

The Financial Report Volume 3, No. 9 • May 2014 (Global)

Discussion and Analysis - Often, overwhelming public opinion is absolutely correct. This week’s news has been dominated by the NBA’s banning of LA Clippers owner Donald Sterling over the outrageous and inexcusable...more

5/6/2014 - Asia Canada CFTC Derivatives Electricity JOBS Act Metals OSC SEC UK

The Financial Report - Volume 3, No. 8 • April 2014 (Global)

Discussion and Analysis - According to various media sources summarizing the findings of a recently published “Progress Report,” as of April 1, 2014, of the 398 total rulemaking requirements under the Dodd-Frank Act,...more

4/22/2014 - Basel Committee Canada CCPs CFTC China Conflict Mineral Rules Dodd-Frank Enforcement Actions EU First Amendment Hedge Funds OSC Private Equity SEC

The Financial Report - Volume 3, No. 7 • April 2014 (Global)

News from the Americas - SEC Chair Discusses the Robust Use of Civil and Criminal Actions to Police the Markets. In a speech at the Securities Industry and Financial Markets Association Compliance & Legal Society Annual...more

4/4/2014

The Financial Report - Volume 3, No. 6 • March 2014 (Global)

Discussion and Analysis - For the past year or so, we have been discussing various forms of “crowdfunding” on these pages, especially “investment crowdfunding” -- the use of crowdfunding to raise capital for an...more

3/21/2014 - Banks CFTC Crowdfunding Funding JOBS Act SEC

The Financial Report - Volume 3, No. 5 • March 2014 (Global)

Discussion and Analysis - Last week, the Financial Industry Regulatory Authority issued one of its most important rule proposals in some time. Regulatory Notice 14-09 solicits comments on a proposed new regulatory...more

3/10/2014 - ASIC Banks CFTC China EU Federal Reserve FINRA Foreign Banks SEC UK

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