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Broker-Dealer › Confidential Information › Financial Industry Regulatory Authority (FINRA)

Proskauer Rose LLP

SEC Adopts New Securities Lending Reporting Rule

Proskauer Rose LLP on

On October 13, 2023, the Securities and Exchange Commission (the “SEC”) adopted new Rule 10c-1a (the “Securities Lending Rule”), requiring the reporting of certain securities lending transactions. Certain material terms of...more

UB Greensfelder LLP

FINRA Rule 8210

UB Greensfelder LLP on

I hope that you have had the chance to enjoy Jessica Hopper’s paean to Rule 8210 in her recent blog posted on FINRA’s website. Very disturbing, and for all the old reasons. First, once again, she starts by patting herself –...more

UB Greensfelder LLP

FINRA’s Concerns About Maintaining Confidentiality Seem To Be Broadening

UB Greensfelder LLP on

I hope that, by now, everyone understands and appreciates just how freakishly sensitive the regulators are to misconduct involving the wrongful sharing of confidential information. If you don’t, however, FINRA was kind enough...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on Regulation S-K, Regulation NMS and Extraordinary Market Volatility,...

Katten Muchin Rosenman LLP on

SEC/CORPORATE - SEC Adopts Rules to Modernize and Simplify Disclosure - The Securities and Exchange Commission recently adopted final rules to modernize and simplify the disclosure requirements for public companies...more

Baker Donelson

SEC, FINRA and the DOL Take Aim at Confidentiality Provisions in Firm Agreements

Baker Donelson on

On October 24, 2016, the United States Securities and Exchange Commission (SEC)'s Office of Compliance Inspections and Examinations (OCIE) released an alert examining whistleblower rule compliance and the use of...more

King & Spalding

Our Modern Markets: SEC Enforcement Focuses On Market Structure In Response To Rapidly-Changing Equity Markets

King & Spalding on

On Monday, November 2, 2015, Andrew Ceresney, Director of the SEC’s Division of Enforcement, gave a speech at the SIFMA Compliance & Legal Society New York Regional Seminar in which he sought to address what he views as the...more

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