On December 13, 2023, the Securities and Exchange Commission (SEC) voted (4-1) to adopt new requirements under the Securities Exchange Act of 1934 (Exchange Act), which will restructure the clearance and settlement of...more
1/2/2024
/ Amended Rules ,
CFTC ,
Clearing Agencies ,
Futures Commission Merchants (FCMs) ,
Hedge Funds ,
New Regulations ,
Policies and Procedures ,
Repurchase Agreements ,
Repurchases ,
Secondary Markets ,
Securities ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Settlement ,
Treasury Markets
On February 15, 2023, the Securities and Exchange Commission (SEC or the Commission) voted to adopt rule changes to shorten the standard settlement cycle for broker-dealer transactions in securities from two business days...more
On December 14, 2022, the Securities and Exchange Commission (“SEC” or “Commission”) released four sweeping rulemaking proposals that would change market structure as we currently know it and introduce a new federal standard...more
The Securities and Exchange Commission (SEC) has amended Rule 15c2-11 (the amended Rule), which governs the publication of quotations in the over-the-counter (OTC) markets, i.e., quotes that are published away from a...more
10/30/2020
/ Alternative Trading System (ATS) ,
Amended Rules ,
American Depository Receipts (ADRs) ,
Broker-Dealer ,
Corporate Governance ,
Corporate Issuers ,
Crowdfunding ,
Foreign Private Issuers ,
Insurance Industry ,
Over-the-Counter Sales ,
Public Disclosure ,
Regulation A ,
Reporting Requirements ,
Securities and Exchange Commission (SEC)
On December 18, 2019, the Securities and Exchange Commission (SEC) adopted a package of rule amendments, guidance and a related order to expand and improve the framework for regulating cross-border security-based swaps,...more
2/13/2020
/ Amended Rules ,
CFTC ,
Compliance ,
Cross-Border Transactions ,
Dodd-Frank ,
Market Participants ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Security-Based Swaps ,
Swap Dealers ,
Swaps
On June 21, 2019, the Securities and Exchange Commission (SEC or Commission) adopted a package of rules and rule amendments (Rules) that set forth the capital, margin and segregation requirements for security-based swap...more
7/23/2019
/ Amended Rules ,
Broker-Dealer ,
Capital Requirements ,
CFTC ,
Credit Default Swaps ,
Final Rules ,
Major Swap Participants ,
Margin Requirements ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
Swap Dealers ,
Swaps