BROKER-DEALER -
SEC Issues Amendments, Seeks Public Comment on Holding Foreign Companies Accountable Act -
On March 24, the Securities and Exchange Commission adopted interim final amendments to implement...more
3/29/2021
/ Bank of England ,
Coronavirus/COVID-19 ,
EU ,
European Securities and Markets Authority (ESMA) ,
False Claims Act (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
NFA ,
Securities and Exchange Commission (SEC) ,
UK ,
UK Brexit ,
Whistleblowers
SEC/CORPORATE -
Acting SEC Chair Lee Provides Public Statement Welcoming Public Comment on Climate Change Disclosures -
On March 15, Acting Securities and Exchange Commission Chair Allison Herren Lee made a public...more
3/22/2021
/ Broker-Dealer ,
CFTC ,
Climate Change ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
NFA ,
Securities and Exchange Commission (SEC)
BROKER-DEALER -
SEC Issues No Action Letter on Treatment of Reserved Powers Trust as Non-US Person by Non-US Investment Adviser for Registration Exemption -
On March 5, the Securities Exchange Commission’s Division of...more
SEC/CORPORATE -
SEC Proposes Rule 144 Tacking Amendments -
On December 22, 2020, the Securities and Exchange Commission voted to propose amendments to Rule 144 under the Securities Act of 1933 (the Securities Act)...more
BROKER-DEALER -
SEC Adopts Rules to Modernize Infrastructure for NMS Market Data -
On December 9, the Securities and Exchange Commission adopted final rules that aim to modernize the infrastructure related to the...more
BROKER-DEALER -
FINRA Announces Updates to Interpretations of Margin Rule Regarding Control and Restricted Securities and Consolidation of Accounts -
On July 2, the Financial Industry Regulatory Authority (FINRA) issued...more
SEC/CORPORATE -
SEC Division of Corporation Finance Issues Additional Disclosure Guidance Related to COVID-19 Pandemic -
On June 23, the Division of Corporation Finance (the Division) of the Securities and Exchange...more
6/29/2020
/ CFTC ,
EU ,
False Claims Act (FCA) ,
FDIC ,
HM Treasury ,
NFA ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC) ,
UK ,
UK Brexit ,
Volcker Rule
BROKER-DEALER -
CBOE Exchange Proposes to Temporarily Extend the Filing Deadline for Certain Supervision-Related Reports -
On June 1, Cboe Exchange, Inc. (Cboe) filed with the Securities and Exchange Commission a...more
BROKER-DEALER -
FINRA Expands Transparency Initiative Related to OTC Equity Trading Volume -
The Financial Industry Regulatory Authority (FINRA) previously announced an expansion to its ongoing transparency initiative...more
12/9/2019
/ Banking Sector ,
Broker-Dealer ,
CFTC ,
Cross-Border Transactions ,
Derivatives ,
European Securities and Markets Authority (ESMA) ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Management ,
MiFID II ,
NFA ,
Securities and Exchange Commission (SEC)
CFTC -
NFA Amends Interpretive Notice Regarding ISSPs -
On January 7, the National Futures Association (NFA) issued a notice to its members that amendments to its Interpretative Notice, entitled NFA Compliance Rules...more
1/14/2019
/ Cryptoassets ,
EU ,
EU Passport ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Information Systems Security Program (ISSP) ,
Investment Funds ,
MiFID II ,
MiFIR ,
NFA ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
UK Brexit ,
Withdrawal Agreement
BROKER-DEALER -
FINRA Issues Report on Examination Findings -
This month, the Financial Industry Regulatory Authority (FINRA) issued a report summarizing various findings from recent examinations of its member firms...more
12/17/2018
/ Article 50 Treaty of the EU ,
Binary Options ,
CFTC ,
CPOs ,
Cryptoassets ,
Derivatives ,
EU ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Internal Controls ,
NFA ,
No-Deal Brexit ,
Swaps ,
UK ,
UK Brexit
SEC/CORPORATE -
SEC Expands Nonpublic Review of Draft Registration Statements -
On June 29, the Division of Corporation Finance (Division) of the Securities and Exchange Commission announced that, beginning on July 10,...more
7/10/2017
/ Bitcoin ,
CFTC ,
Consultation ,
Emerging Growth Companies ,
Financial Conduct Authority (FCA) ,
Initial Public Offering (IPO) ,
JOBS Act ,
MiFID II ,
NFA ,
No-Action Relief ,
Registration Statement ,
Securities and Exchange Commission (SEC) ,
SEFs ,
UK
National Futures Association (NFA) has notified its member commodity trading advisors (CTAs) that do not direct trading of commodity interest accounts that they are no longer required to file NFA Form PR under NFA Compliance...more
On February 10, National Futures Association (NFA) issued a notice to members describing minor changes to its EasyFile system for annual pool financial statement filings submitted by commodity pool operators (CPOs)...more
In this issue:
- SEC Publishes Rules for Reporting Security-Based Swaps
- SEC Proposes Rules for Disclosure of Companies’ Hedging Policies
- CFTC Extends Relief From Certain OCR Requirements
- NFA...more
2/17/2015
/ Arbitration ,
Banking Sector ,
Banks ,
Bribery ,
Brokered Deposits ,
Capital Requirements ,
CFTC ,
Clawbacks ,
FDIC ,
Haiti ,
Hedging ,
NFA ,
OCC ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
Subordination
In this issse:
- ISS Publishes Results of Annual Global Voting Policy Survey
- FINRA Requests Comment on a Rule Proposal to Implement the Comprehensive Automated Risk Data System
- NFA Issues Notice...more
10/6/2014
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Commodity Trading Advisors (CTAs) ,
CPOs ,
Derivatives ,
Designated Contract Markets (DCMs) ,
Enforcement ,
Enforcement Actions ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Industry Regulatory Authority (FINRA) ,
Fraud ,
Institutional Shareholder Services (ISS) ,
MiFID ,
NFA ,
Risk Assessment ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
SEFs
On April 24, the National Futures Association (NFA) issued a notice to members regarding amendments to NFA Compliance Rule 2-46. The amended rule modifies the NFA’s quarterly pool reporting requirements and extends related...more
On March 4, the National Futures Association (NFA) issued a proposed rule change and interpretive notice that would allow commodity pools to provide certain loans to related commodity pool operators (CPOs) and other...more