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
4/1/2019
/ Broker-Dealer ,
CFTC ,
Derivatives ,
European Securities and Markets Authority (ESMA) ,
Final Rules ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Margin Requirements ,
Proposed Rules ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC) ,
Self-Regulatory Organizations ,
Swap Dealers ,
TRACE ,
UK Brexit
BROKER-DEALER -
SEC Chairman Clayton and Trading and Markets Director Redfearn Call for a Reassessment of Regulation NMS -
On March 8, US Securities and Exchange Commission chairman Jay Clayton and director, Division...more
3/11/2019
/ Alternative Trading System (ATS) ,
Antitrust Provisions ,
Basel Committee on Banking Supervision (BCBS) ,
Broker-Dealer ,
CFTC ,
Derivatives ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Hart-Scott-Rodino Act ,
IOSCO ,
ISDA ,
Margin Requirements ,
MiFIR ,
National Futures Association ,
No-Deal Brexit ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
Regulation NMS ,
Securities and Exchange Commission (SEC) ,
Stock Exchange ,
Truth in Lending Act (TILA) ,
UK Brexit
CFTC -
CFTC’s LabCFTC Releases Primer on Smart Contracts -
On November 27, the Commodity Futures Trading Commission’s LabCFTC released “A CFTC Primer on Smart Contracts” to provide information on a variety of financial...more
12/3/2018
/ CFTC ,
Derivatives ,
EU ,
LabCFTC ,
Margin Requirements ,
Payment Systems ,
Smart Contracts ,
Swap Clearing ,
Swaps ,
UK ,
UK Brexit
BROKER-DEALER -
FINRA Publishes Information Notice Regarding Enhancements to the Disclosure Review Process Relating to Public Financial Records -
On May 18, the Financial Industry Regulatory Authority (FINRA) published...more
SEC/CORPORATE -
SEC Approves NYSE Rule to Facilitate Listing Without an IPO -
On February 2, the Securities and Exchange Commissions approved a New York Stock Exchange (NYSE) rule change that facilitates the listing...more
2/13/2018
/ Banks ,
Broker-Dealer ,
Derivatives ,
EU ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
General Data Protection Regulation (GDPR) ,
Government Securities ,
Listing Rules ,
Margin Requirements ,
MiFID II ,
NYSE ,
OCIE ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Short Selling ,
Swaps ,
UK
BROKER-DEALER -
FINRA Requests Comment on Proposed Amendments to FINRA Rule 4521 and New Supplemental Liquidity Schedule
On January 8, the Financial Industry Regulatory Authority (FINRA) requested comment on proposed...more
SEC/CORPORATE -
SEC Division of Corporation Finance Issues C&DI Clarifying Exemptions for Non-GAAP Information in Forecasts for M&A Transactions -
On October 17, the staff of the Securities and Exchange Commission’s...more
11/6/2017
/ C&DIs ,
Commission Delegated Regulation ,
Consolidated Audit Trail ,
EU ,
Financial Conduct Authority (FCA) ,
Futures ,
Margin Requirements ,
No-Action Relief ,
Non-GAAP Financial Measures ,
Regulation S-K ,
UK
EU and Prudential Regulators Issue Statements on March 1 Compliance With Swap Margin Rules -
Lacking the ability to issue formal no-action relief from strict compliance with the variation margin rules for uncleared swaps...more
FINRA Issues Report on Implications of Blockchain -
Broker-Dealer -
On January 18, the Financial Industry Regulatory Authority, responding to increased industry interest in distributed ledger technology (DLT) known...more
BROKER-DEALER -
FINRA Issues Notice Regarding SEC’s Approval of New NMS Stock Recording and Reporting Requirements Rule -
On August 8, the Financial Industry Regulatory Authority issued Regulatory Notice 16-28,...more
8/15/2016
/ Alternative Trading System (ATS) ,
Chief Compliance Officers ,
EU ,
Futures Commission Merchants (FCMs) ,
Interpretive Letters ,
Margin Requirements ,
Meals-Gifts-and Entertainment Rules ,
No-Action Relief ,
Regulation NMS ,
Regulation Technical Standards (RTS) ,
Swap Dealers ,
TRACE
SEC/CORPORATE -
DC Circuit Court Rejects States’ Challenge of Blue Sky Preemption Under Regulation A+ -
On June 14, the Federal Court of Appeals for the District of Columbia (the DC Circuit) rejected challenges...more
6/20/2016
/ Blue Sky Laws ,
Central Counterparties ,
Credit Default Swaps ,
Derivatives Clearing Organizations ,
Futures ,
Margin Requirements ,
No-Action Relief ,
Preemption ,
Regulation A ,
Reporting Requirements ,
Third Country Entities (TCEs)
SEC/CORPORATE -
SEC Releases Target Dates for Proposed and Final Rulemaking -
The Securities and Exchange Commission recently published its agenda with respect to upcoming rulemaking, including rulemaking...more
5/31/2016
/ Cross-Border Transactions ,
Deposit Accounts ,
EU ,
European Union Delegated Act (EUDA) ,
FDIC ,
Margin Requirements ,
MiFID II ,
Recordkeeping Requirements ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
UK
On March 8, the European Supervisory Authorities (which includes the European Banking Authority (EBA), the European Insurance and Occupational Pensions Authority and the European Securities and Markets Authority) published...more
BACKGROUND -
The five US prudential regulators for swaps (the Federal Deposit Insurance Corporation, the Board of Governors of the Federal Reserve, the Comptroller of the Currency, the Farm Credit Administration and the...more
The US prudential regulators (the Federal Deposit Insurance Corporation, the Board of Governors of the Federal Reserve, the Comptroller of the Currency, the Farm Credit Administration and the Federal Housing Finance Agency)...more
SEC/CORPORATE -
SEC To Hold Forum on Small Business Capital Formation in November -
On October 21, the Securities and Exchange Commission announced that it will hold its annual Government - Business Forum on Small...more
10/26/2015
/ AML/CFT ,
Banks ,
Capital Formation ,
Deposit Insurance ,
EU ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
FDIC ,
JOBS Act ,
Margin Requirements ,
Regulation Technical Standards (RTS) ,
Securities and Exchange Commission (SEC) ,
Small Business ,
Startups ,
Uncleared Swaps
In this issue:
- SEC Seeks Comment on Possible Enhancement of Audit Committee Disclosures
- SEC Proposes Rule Requiring Executive Compensation Clawbacks
- FINRA Requests Comment on Revised Discretionary...more
7/13/2015
/ Audit Committee ,
CFTC ,
Clawbacks ,
Cross-Border ,
Enforcement Actions ,
European Securities and Markets Authority (ESMA) ,
Financial Industry Regulatory Authority (FINRA) ,
Futures ,
Greece ,
Hong Kong ,
Margin Requirements ,
MiFID II ,
Securities and Exchange Commission (SEC) ,
Swaps