News & Analysis as of September 23, 2024

Securities Exchange Act › Financial Conduct Authority (FCA)

+ Follow

The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange... more +

The Justice Insiders Podcast: Meet the Securities and Exchange (and Human Resources) Commission

Daily Financial Regulation Update -- Thursday, December 15, 2022

Paul Hastings LLP on 12/15/2022

December 14, 2022- The Federal Reserve Board issued a Federal Open Market Committee statement following the Committee meeting held December 13-14....more

Corporate & Financial Weekly Digest, Featuring the Articles on LIBOR-Transition Relief and New CFTC Rules for DCOs, Swap Dealers

Katten Muchin Rosenman LLP on 12/23/2019

SEC/CORPORATE - SEC Announces Proposed Amendments to the Definitions of “Accredited Investor” and “Qualified Institutional Buyer” - On December 18, the Securities and Exchange Commission voted to propose amendments...more

Corporate & Financial Weekly Digest, Featuring Articles on Shareholder Proposals Exclusion, the SEC's New Asset Management...

Katten Muchin Rosenman LLP on 10/21/2019

SEC/CORPORATE - SEC Issues Legal Bulletin Regarding Shareholder Proposals Exclusion - On October 16, the staff of the Division of Corporation Finance (Staff) of the Securities and Exchange Commission issued Staff...more

Corporate & Financial Weekly Digest, Featuring Articles on SEC's Changes to Rule 14a-8 No-Action Request Process, FINRA's Call for...

Katten Muchin Rosenman LLP on 9/16/2019

SEC/CORPORATE - SEC Staff Announces Changes to Rule 14a-8 No-Action Request Process - On September 6, the staff of the Division of Corporation Finance (the Staff) of the Securities and Exchange Commission announced...more

Corporate & Financial Weekly Digest, Featuring Articles on Potential Updates to FINRA Rules on Corporate Bond Block Trade...

Katten Muchin Rosenman LLP on 4/22/2019

BROKER-DEALER - FINRA Requests Comment on Proposed Pilot Program to Study Changes to Corporate Bond Block Trade Dissemination - On April 12, the Financial Industry Regulatory Authority (FINRA) published a regulatory...more

Corporate & Financial Weekly Digest, Featuring Articles on Filing Obligations for OTC Securities, Customer Funds Training, Market...

Katten Muchin Rosenman LLP on 10/1/2018

BROKER-DEALER - FINRA Reminds Members of Obligations Related to OTC Securities Quoted by a Filed Form 211 - On September 24, the Financial Industry Regulatory Authority (FINRA) issued a Regulatory Notice (Notice)...more

Raising the Bar? SEC Proposes Broker-Dealer Standard of Care and Guidance on Investment Advisers’ Fiduciary Standard

A&O Shearman on 4/25/2018

On April 18, 2018, the U.S. Securities and Exchange Commission (“SEC”) took the long-awaited step of proposing rules, interpretations and guidance (the “Proposed Rules”) that would seek to enhance and clarify the standards of...more

Corporate and Financial Weekly Digest - Volume X, Issue 36

Katten Muchin Rosenman LLP on 9/21/2015

BROKER-DEALER SEC - Extends Specified Temporary Relief Related to Security-Based Swaps - On September 15, the SEC issued an order extending temporary exemptions and exceptions from compliance with certain...more

8 Results

View per page

Page: of 1

Securities Exchange Act › Financial Conduct Authority (FCA)

"My best business intelligence, in one easy email…"