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
The SEC recently sanctioned another foreign bank for conducting cross-border brokerage activities without being registered. Since 2009, the SEC has sanctioned a number of foreign firms for failing either to register as a...more