SEC to Inspect Firms for Compliance With New Advertising and Solicitation Rule - November 4 is the compliance date for the new rule governing advertising and solicitation activities by investment advisers. The new rule...more
On May 14, 2019, the Joint Audit Committee (JAC) issued two regulatory alerts calling for futures commission merchants (FCMs) to review policies and procedures and account agreements in situations where an FCM carries...more
The Commodity Futures Trading Commission determined not to stand in the way of a rule amendment by ICE Futures U.S. to impose speed bumps on certain orders entered in two futures contracts traded on the exchange. Two...more
On March 12, the Joint Audit Committee issued a regulatory alert and revised templates for segregated, secured and cleared swap customer acknowledgment letters...more