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PLI's inSecurities Podcast: A View From the Inside
PLI's inSecurities Podcast: Whistling the Same Tune: Building an Effective Whistleblower Program
PLI's inSecurities Podcast - Commissioner Jaime Lizárraga’s Core Values
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Crypto, Best Ex, Gatekeepers, Enforcement: The Biggest Stories From 2022
CYBER THURSDAY!
Crypto and the SEC - The Crypto Exchange Podcast
Coffee & Regs - Digital Assets: Trading & Compliance for Cryptocurrency
The Insider Trading Cartoon Series, Vol. V — Misappropriation Theory
CorpCast Episode 1: Sections, 204, 205 and In re Numoda
What is Bitcoin 2.0?
Insider Trading News - Ralph Siciliano discusses US v. Newman
Types of Crowdfunding
Keith Ross on HFT, Reg NMS and Dark Pools
Open for Business: SEF Competition Heating Up in the New Market Structure
Open for Business: SEFs Navigate the New Regulatory Environment
Fund Tokenisation: The Financial Conduct Authority (“FCA”) published a press release announcing that it has joined the Monetary Authority of Singapore’s Project Guardian, a collaborative initiative with the financial industry...more
The new Belgian Code on Companies and Associations enters into force on 1 May 2019. The Belgian Code on Companies and Associations (the "BCCA"), enacted by the Belgian parliament on 28 February 2019, repeals the existing...more
Following an initial “soft” consultation with industry participants and relevant stakeholders, the Securities and Futures Commission (SFC) launched a three-month consultation on proposed amendments to the Code on Unit Trusts...more
Financial Industry Developments - Class Action Against Lending Club and WebBank Headed to Defeat - On Monday, January 31, 2017, a federal district court in the Southern District of New York granted a motion to...more
Financial Industry Developments - CTFC Approves Re-Proposal of Position Limits Regulation - On December 5, 2016, the U.S. Commodity Futures Trading Commission ("CFTC") unanimously approved to re-propose rules that...more
At the NCUA’s October board meeting, senior staff of the NCUA submitted a briefing report (the “Report”) to the NCUA Board (the “Board”) on the issues concerning the use of supplemental capital by federally insured credit...more
SEC Adopts Rules for Enhanced Regulatory Framework for Securities Clearing Agencies - On September 28, 2016 the Securities and Exchange Commission ("SEC") voted to adopt new rules to establish "enhanced standards for the...more
The SEC has agreed to propose rules that would shorten the standard settlement cycle for most broker-dealer transactions from three business days after the trade date (also known as T+3 settlement) to two business days after...more