News & Analysis as of

Self-Regulatory Organizations

SROs to Receive More Power at the Expense of Procedural Fairness

The Ontario Government is proposing to allow self-regulatory organizations (SROs) to use the civil court system to collect fines from their current and former members. The Budget for 2017, released earlier this year, calls...more

Takeaways From TRANSACT: Payments Industry Legal and Regulatory Trends

by Perkins Coie on

Earlier this month, the Electronic Transactions Association (ETA) hosted its annual TRANSACT conference to connect and educate the various branches of the payments industry. Industry leaders spoke on technology, security,...more

US Financial Industry Regulatory Authority Seeks Comments Regarding its Programs

by Shearman & Sterling LLP on

FINRA issued a notice seeking comment from interested parties regarding its current engagement programs. The notice provides an overview of the engagement programs, with particular focus on FINRA’s committees, rulemaking...more

NYSE Proposes Rules to Effect T+2 Settlement Cycle

U.S. regulators and self-regulatory organizations have been moving towards a T+2 settlement cycle for secondary market transactions. In November 2016, the NYSE took its own expected steps in this direction, with a series of...more

SGX to Set Up Subsidiary Company ‘Regco’ for Regulatory Functions

by Morgan Lewis on

Market players hail the establishment of a separate subsidiary to handle regulatory functions in response to concerns about conflicts of interest in SGX’s self-regulatory structure. On 18 July, Singapore Exchange (SGX)...more

What to Consider When Purchasing a Privacy Certification

by Bryan Cave on

Privacy certifications, or "trustbrands," are seals licensed by third parties for organizations to place on their homepage or within their privacy policy. The seals typically state, or imply, that the organization which has...more

Advertising Accountability Program Releases First Set of Decisions Applying the DAA’s Mobile Guidance

by Reed Smith on

The Online Internet-Based Advertising Accountability Program recently released decisions regarding popular app publishers’ compliance with the Digital Advertising Alliance Self-Regulatory Principles. These inaugural decisions...more

Advertising Law - November 2015 #2

It’s a FACT(A): Record Deals Reached Under the Statute - Two record-setting deals were recently reached in Fair and Accurate Credit Transaction Act (FACTA) cases, where the Laboratory Corporation of America and Spirit...more

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

by 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

Making a Good Thing Better? NAD’s Plans to Modify Its Procedures

by Reed Smith on

The National Advertising Division (NAD) has for more than 40 years been the premier avenue for self-regulation in the advertising industry. Born in the ’70s at a time when there was pressure from government and consumer...more

NYCCHR’s Enforcement Guidance on NYC Credit Check Law: Answers and New Questions

On September 2, 2015, the New York City Commission on Human Rights (NYCCHR or Commission) issued Enforcement Guidance (Guidance) on the New York City Stop Credit Discrimination in Employment Act (SCDEA), which took effect on...more

Alert: Digital Advertising Alliance Begins Enforcing Mobile Privacy Rules

by Cooley LLP on

On September 1, 2015, the Digital Advertising Alliance ("DAA") began enforcing the application of its Self-Regulatory Principles for Online Behavioral Advertising and Multi-Site Data (the "OBA Principles", the "MSD...more

Facial Recognition Technology: Social Media and Beyond, an Emerging Concern

This week, a major self-regulatory initiative intended to address privacy concerns associated with facial recognition technology hit a significant stumbling block. Nine consumer advocacy groups withdrew from the National...more

Ad Cops After Four Decades: Report Finds Self-Regulation Works, But Popularity May Lead To Change

by Kelley Drye & Warren LLP on

MCC: On April 15, a working group associated with the ABA released a report* evaluating the National Advertising Division (NAD) and the state of advertising self-regulation in the U.S. You led the group in these efforts....more

The NAI Issues Privacy Guidelines For Interest-Based Advertising, Ad Delivery and Reporting

The Network Advertising Initiative (NAI) has issued guidance for its members on the use of non-cookie technologies for Interest-Based Advertising (IBA) and Ad Delivery and Reporting (ADR) (Guidance). The NAI is a...more

Mobile Privacy Rules to Be Enforced Starting September 1, 2015

All businesses acting in the mobile ecosystem—including app developers, analytics companies, advertising networks, app platform providers, and providers of devices and related services—should be aware that the Digital...more

The Financial Report - Volume 4, No. 3 • February 2015 (Global)

by DLA Piper on

Discussion and Analysis - One of the most famous routines of the late great comedian George Carlin commented on the differences between baseball and football. He said, “Baseball is a nineteenth-century pastoral game....more

SEC Adopts New Regulation to Govern the Technology Systems of the National Exchanges and Certain Other Market Participants

On November 19, 2014, the five commissioners of the U.S. Securities and Exchange Commission (SEC) unanimously voted to adopt Regulation SCI, which stands for Systems Compliance and Integrity, to govern the technology...more

FINRA: 75 Years of a Sick-Chicken Survivor

by Burr & Forman on

FINRA celebrated its 75th Anniversary this September 18. It is the “largest independent regulator for all securities firms doing business in the United States,” with a notionally voluntary membership of over 4,100 securities...more

The Financial Report - Volume 3, No. 15 • August 2014 (Global)

by DLA Piper on

US Judicial Developments - Securities fraud litigation practices. The US Court of Appeals for the Ninth Circuit held that a party does not violate the automatic discovery stay found in the Private Securities Litigation...more

SEC Waives Rule and Reverses Course to Grant Whistleblower Windfall

In August 2013 the SEC whistleblower claims review staff issued a preliminary determination and recommended a whistleblower claim be denied. Although the record demonstrated that the claimant provided original information to...more

Financial Regulatory Developments Focus - April 1, 2014

by Shearman & Sterling LLP on

In this issue: - Derivatives - Bank Structure - Compensation - Regulatory Capital - Financial Services - Funds - Consumer Protection - Enforcement -...more

Amendments to Uniform Branch Office Registration Form

Broker-dealers are required to use the Branch Office Registration Form (Form BR) to register their branch offices with the Financial Industry Regulatory Authority, the New York Stock Exchange and participating states via the...more

The Financial Report - Volume 3, No. 2 • January 23, 2014 (Global)

by DLA Piper on

IN THIS ISSUE: • Discussion and Analysis • News from the Americas • News from Asia and the Pacific • News from Europe • Global Regulators • US Securities and Exchange Commission...more

NFA Implements Additional Reporting Requirements for Certain FCMs

On January 6, National Futures Association (NFA) issued a notice to members implementing new daily, monthly and quarterly reporting requirements for futures commission merchants (FCMs) for which NFA is the designated...more

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