Although the loan industry has long looked at loans as being obligations that arise in a commercial lending relationship, which are therefore not securities under Federal and state securities laws, the law supporting this...more
6/2/2020
/ Blue Sky Laws ,
Collateralized Loan Obligations ,
Coronavirus/COVID-19 ,
Debt Securities ,
Fiduciary Duty ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Lenders ,
Loans ,
Reves Test ,
Secured Notes ,
Securities ,
Securities Act of 1933 ,
Securities Exchange Act ,
Syndicated Loans
The Securities and Exchange Commission has solicited the views of exchanges, broker-dealers and investors on a range of questions related to market data since at least 1999 when it published SEC Concept Release: Regulation of...more
12/21/2018
/ Broker-Dealer ,
Capital Markets ,
Data Management ,
Electronic Trading ,
Equity Markets ,
Fees ,
Investors ,
Market Access Rule ,
Market Data ,
Market Participants ,
Regulation NMS ,
Request For Information ,
Roundtable ,
Securities ,
Securities and Exchange Commission (SEC) ,
Stock Exchange ,
Transparency
In Regulatory Notice 16-29 (Regulatory Notice), the Financial Industry Regulatory Authority (FINRA) requested comments on proposed amendments to Rule 32202 – its “Gift Rule” – as well as new proposed FINRA Rule 3221...more
The U.S. Securities and Exchange Commission (SEC) has published proposed amendments to Rule 606 under Regulation NMS of the Securities Exchange Act of 1934 (Exchange Act), which would require broker-dealers to disclose...more
The Financial Industry Regulatory Authority is once again taking a close look at member firm mutual fund sales practices and sales charge waivers (Mutual Fund Waiver Sweep) in the U.S. FINRA’s target exam letter seeks...more