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 -
SEC and FDIC Adopt Final Rule on the Orderly Liquidation of Covered Broker-Dealers Under Dodd-Frank -
On July 24, the Securities and Exchange Commission announced that the SEC and the Federal Deposit...more
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