On October 13, 2023, the Securities and Exchange Commission adopted new Rule 13f-2 to require monthly reporting of short sale positions and activity data on new Form SHO by institutional investment managers. The new rules...more
Remote Non-Branch Office Inspections: Facilitating Home Office Arrangements -
Introduction -
Financial services firms, like other businesses, must address employees' requests for more flexible work arrangements, including...more
Unbundling research and execution costs for money managers subject to MiFID II means that US broker-dealers can expect to receive hard dollars or other separately identified payments for research, at least from EU managers....more