Hot Topics in International Trade with Braumiller Law Group: Customs Broker Modernization Regulations 19 CFR 111
Investment Management Roundtable Discussion – Data Privacy and Security
SEC Activity with Fixed Income and Credit Funds
Bill on Bankruptcy: Easterbrook Turns the Tide on Student Loans
Confirmations: Plugging Into Electronic Confirmations
Bill on Bankruptcy: Rakoff Reverses Himself in Madoff Case
On May 3, 2023, the U.S. Securities and Exchange Commission (“SEC”) adopted amendments to Form PF, the confidential form by which certain SEC-registered investment advisers report information pertaining to the private funds...more
The Israel Securities Authority is looking to toughen the conditions under which it will grant a permit to entities applying to offer foreign brokerage services in Israel. This includes obligating foreign brokers to bear...more
On May 27, the Financial Industry Regulatory Authority filed a revised rule proposal with the Securities and Exchange Commission to amend FINRA Rule 2210. Specifically, the revised proposal would require each member firm’s...more
The NYSE has proposed amendments to NYSE Rules 451 and 465, and the related provisions of Section 402.10 of the NYSE Listed Company Manual. Those rules provide a schedule for the reimbursement of expenses by issuers to NYSE...more