ATSs that trade NMS stocks should prepare for new Form ATS-N filings requiring substantial public disclosure of their operations and their broker-dealer operator’s ATS-related activities.
Summary -
On July 18, 2018,...more
Proposal seeks to clarify and enhance obligations applicable to a broker-dealer’s retail customer interactions, but may raise more questions than answers.
The Securities and Exchange Commission (SEC) proposed for public...more
If adopted, the Proposed Rule would have a significant impact on compensation practices at covered institutions.
On April 21, 2016, the National Credit Union Administration (the NCUA) issued a proposed rule regarding...more
5/5/2016
/ Board of Directors ,
Clawbacks ,
Comment Period ,
Compensation Committee ,
Corporate Executives ,
Disclosure Requirements ,
Dodd-Frank ,
FDIC ,
Federal Reserve ,
FHFA ,
Financial Crisis ,
Financial Institutions ,
Forfeiture ,
Incentive Compensation ,
NCUA ,
OCC ,
Proposed Regulation ,
Recordkeeping Requirements ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Vesting
The proposal would place restrictions on certain investment funds to limit their use of derivatives and require certain risk management procedures.
On December 11, 2015, the US Securities and Exchange Commission (SEC)...more
The proposal would subject ATSs that effect transactions in listed stocks to significant new disclosure and transparency requirements.
On November 18, 2015, the US Securities and Exchange Commission (SEC) proposed rules...more
The new rules retain many of the current rules’ core requirements, but expand certain obligations and impose requirements on debt research activities for the first time.
On August 26, 2015, the Financial Industry...more
8/28/2015
/ Conflicts of Interest ,
Debt Securities ,
Disclosure Requirements ,
Due Diligence ,
Equity Securities ,
Financial Analysts ,
Financial Industry Regulatory Authority (FINRA) ,
General Solicitation ,
Information Reports ,
NASD ,
New Regulations ,
Securities and Exchange Commission (SEC)