News & Analysis as of

TRACE Securities and Exchange Commission (SEC)

Mayer Brown Free Writings + Perspectives

FINRA Proposes to Reduce the 15-Minute TRACE Reporting Timeframe to One Minute

On January 11, 2024, the Financial Industry Regulatory Authority, Inc. (“FINRA”) filed with the Securities and Exchange Commission (“SEC”) a proposed rule change (the “Proposal”) to amend FINRA Rule 6730 to reduce the Trade...more

Proskauer Rose LLP

SEC Adopts New Securities Lending Reporting Rule

Proskauer Rose LLP on

On October 13, 2023, the Securities and Exchange Commission (the “SEC”) adopted new Rule 10c-1a (the “Securities Lending Rule”), requiring the reporting of certain securities lending transactions. Certain material terms of...more

Morgan Lewis

FINRA Seeks to Expand Reporting Requirements for Transactions in TRACE-Eligible Securities

Morgan Lewis on

The Financial Industry Regulatory Authority recently filed two rule proposals—SR-FINRA-2022-011 and SR-FINRA-2022-013—with the US Securities and Exchange Commission and issued Regulatory Notice 22-12 in an effort to expand...more

Morgan Lewis

2020 Year in Review and a Look Forward: Select SEC and FINRA Developments and Enforcement Cases

Morgan Lewis on

The Morgan Lewis Year in Review highlights key US Securities and Exchange Commission (SEC or the Commission) and Financial Industry Regulatory Authority (FINRA) enforcement and examination developments, and summarizes...more

WilmerHale

The SECs Fixed Income Market Structure Advisory Committee Approves Two New Recommendations

WilmerHale on

The Securities and Exchange Commission’s (SEC) Fixed Income Market Structure Advisory Committee (FIMSAC) held its latest meeting on February 10, 2020. The SEC formed FIMSAC to provide advice to the SEC on the efficiency and...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest Featuring Articles on FINRA TRACE Reporting Obligations and FCA Guidance on Cryptoassets

BROKER-DEALER - FINRA Proposes to Ease Restrictions on Initial Equity Public Offerings and New Issues - The Financial Industry Regulatory Authority (FINRA) is proposing to amend its Rule 5130 and Rule 5131 to ease ...more

Katten Muchin Rosenman LLP

Bridging the Weeks - July 2019 #4

The Commodity Futures Trading Commission and the Securities and Exchange Commission brought separate enforcement actions against the portfolio manager of a hedge fund for mismarking valuations of interest rate swaps in order...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on CFTC Rules Changes Regarding Swaps, No-Deal Brexit Preparations and...

BROKER-DEALER - FINRA Proposes Data Service for Corporate Bond New Issues - The Financial Industry Regulatory Authority (FINRA) has filed with the Securities and Exchange Commission a proposed rule change to establish a...more

Morgan Lewis

2017 Year in Review: Select SEC and FINRA Developments and Enforcement Cases

Morgan Lewis on

Executive Summary - The Morgan Lewis Year in Review highlights key US Securities and Exchange Commission (the SEC or the Commission) and Financial Industry Regulatory Authority (FINRA) enforcement developments and cases...more

Morrison & Foerster LLP

Top Ten International Anti-Corruption Developments for March 2017

In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important international anti-corruption developments from the past month, with links to primary...more

Katten Muchin Rosenman LLP

Bridging the Week - April 2017 #2

SEC Chairman Nominee Advances: Jay Clayton took another step to becoming chairman of the Securities and Exchange Commission when the US Senate Committee on Banking, Housing and Urban Affairs approved his nomination for the...more

Morrison & Foerster LLP - Structured Products

Structured Thoughts: News for the financial services community, Volume 7, Issue 9

Updating Unregistered Structured Note Programs: How Frequently? - For some types of securities offering programs, we have “black letter law” that instructs issuers how frequently the program documentation should be...more

Broker-Dealer Compliance + Regulation

FINRA Approves Price Disclosure Proposal for Debt Securities

On February 26, 2016, FINRA issued a press release (http://www.finra.org/newsroom/2016/finra-approves-enhanced-price-disclosure-retail-investors-fixed-income-securities) announcing that its Board of Governors approved the...more

Katten Muchin Rosenman LLP

Bridging the Week - November 2015

SEC to Permit Capital Raising Through Crowdfunding: The Securities and Exchange Commission finalized rules that will permit eligible companies to raise money through Internet offerings of their securities—a practice known as...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - Volume IX, Issue 47

In this issue: - SEC Sets October 2015 Target Date for Certain Dodd-Frank and JOBS Act Rulemaking - FINRA Issues Notice on TRACE Trade Reporting Obligations - NFA Issues Guidance on Exempt and Excluded...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - Volume IX, Issue 40

In this issue: - SEC Division of Corporation Finance Issues New C&DI Related to Rule 147 and Website/Social Media Use - Director of SEC Division of Corporation Finance Gives Speech on Securities Disclosure ...more

Morrison & Foerster LLP - JOBS Act

Effective Date for TRACE Dissemination of 144A Data

As we reported in a previous post, the SEC approved amendments to FINRA Rules 6750 and 7730, and TRACE dissemination procedures for Rule 144A trade data. FINRA has announced that these amendments will go into effect beginning...more

Morrison & Foerster LLP - JOBS Act

TRACE Dissemination of 144A Data

The SEC recently approved FINRA’s rule change to permit dissemination of trade data for 144A bonds on TRACE. FINRA will publish a regulatory notice within 60 days of the rule approval, which was earlier this month, providing...more

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