BROKER-DEALER -
SEC Small Business Capital Formation Advisory Committee to Discuss Opportunities for Underrepresented Founders and Investors -
On April 26, the Securities and Exchange Commission announced that its Small...more
5/3/2021
/ Brokers ,
CFTC ,
Climate Change ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
HM Treasury ,
Investors ,
MiFID ,
Securities and Exchange Commission (SEC) ,
Small Business ,
Sustainability ,
UK
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
SEC/CORPORATE -
SEC Adopts Amendments to MD&A and Other Financial Disclosures -
On November 19, the Securities and Exchange Commission announced that it adopted amendments (the Amendments) to certain financial...more
SEC/CORPORATE -
SEC Adopts Amendments Permitting Use of Electronic Signatures for EDGAR Filings -
On November 17, the Securities and Exchange Commission adopted amendments to Regulation S-T to permit the use of...more
SEC/CORPORATE -
SEC Adopts Amendments to Modernize Auditor Independence Rules -
On October 16, the Securities and Exchange Commission adopted amendments (the Amendments) to its long-standing auditor independence rules....more
BROKER-DEALER -
SEC Amends Exchange Act Rule 15c2-11 to Enhance Retail Investor Protections and Modernize Governing Quotations for Over-the-Counter Securities -
On September 16, the Securities and Exchange Commission...more
SEC/CORPORATE -
SEC Amends the Definitions of “Accredited Investor” and “Qualified Institutional Buyer” -
On August 26, the Securities and Exchange Commission adopted amendments to the definitions of “accredited...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
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 -
SEC Amends CAT NMS Plan -
On May 15, the Securities and Exchange Commission adopted amendments to the national market system plan governing the consolidated audit trail (the CAT NMS Plan). The Financial...more
BROKER-DEALER -
FINRA Proposes Rule Change to Temporarily Amend Certain Timing, Method of Service and Other Procedural Requirements in FINRA Rules -
On May 8, the Financial Industry Regulatory Authority (FINRA) filed...more
SEC/CORPORATE -
SEC Approves Temporary NYSE Waiver of Stockholder Approval Rules to Facilitate Capital Raising in the Wake of COVID-19 -
On April 6, the Securities and Exchange Commission issued a release (the Release)...more
SEC/CORPORATE -
SEC Further Extends Filing Deadlines for Companies Impacted by COVID-19 -
On March 25, the Securities and Exchange Commission issued an order extending conditional relief (the Modified Order) for...more
CFTC -
CFTC Designates Small Exchange, Inc. as a Designated Contract Market -
On March 10, the Commodity Futures Trading Commission (CFTC) announced that it had issued an Order of Designation approving the application...more
BROKER-DEALER -
FINRA Releases Targeted Examination Letter for No Commission Brokers -
On February 20, the Financial Industry Regulatory Authority (FINRA) released a targeted examination letter requesting that certain...more
3/2/2020
/ Bitcoin ,
CFTC ,
Derivatives ,
Derivatives Clearing Organizations ,
European Central Bank ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Swap Data Repositories ,
UGMA ,
UK ,
UTMA
BROKER-DEALER -
FINRA Issues Investor Alert Regarding Required Minimum Distributions -
The Financial Industry Regulatory Authority (FINRA) issued an Investor Alert regarding a new law raising the age for required...more
2/18/2020
/ Broker-Dealer ,
CFTC ,
Cryptoassets ,
Digital Assets ,
EMIR ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
IOSCO ,
MiFIR ,
National Futures Association ,
Required Minimum Distributions ,
SECURE Act
BREXIT/UK DEVELOPMENTS -
ESG and Sustainable Investments: House of Lords EU Committee Queries Taxonomy Regulation With HMT -
On January 16, the House of Lords European Union Committee published a letter from the...more
1/28/2020
/ CFTC ,
Climate Change ,
Environmental Social & Governance (ESG) ,
EU ,
European Commission ,
Financial Conduct Authority (FCA) ,
Financial Regulatory Agencies ,
Green Finance ,
MiFID II ,
Sustainable Finance ,
UK Brexit
BROKER-DEALER -
SEC Issues Guidance on Substituted Compliance Applications by Non-US Security-Based Swap Dealers and Major Security-Based Swap Participants -
On November 25, the Securities and Exchange Commission’s...more
12/16/2019
/ Broker-Dealer ,
Capital Requirements ,
CFTC ,
Cryptocurrency ,
Economic and Financial Affairs Council (ECOFIN) ,
Emissions Trading System ,
European Banking Authority (EBA) ,
Final Rules ,
Financial Conduct Authority (FCA) ,
Financial Markets ,
Green Finance ,
Popular ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
Senior Management Regime (SMR) ,
Swap Dealers ,
Swaps