Kyle Swan

Kyle Swan

WilmerHale

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SEC Approves FINRA Rules to Establish Securities Lending Reporting Facility

On January 2, 2025, the Securities and Exchange Commission (SEC) approved the FINRA Rule 6500 Series (the SLATE Rules), which establishes the Securities Lending and Transparency Engine (SLATE), a new facility for the...more

1/24/2025  /  Debt Securities , Disclosure Requirements , Financial Industry Regulatory Authority (FINRA) , Financial Institutions , Financial Services Industry , Reporting Requirements , Rulemaking Process , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Regulation

SEC Holiday Reading List: Four Rule Proposals That Would Overhaul Market Structure and How Retail Orders Are Executed

On December 14, 2022, the Securities and Exchange Commission (“SEC” or “Commission”) released four sweeping rulemaking proposals that would change market structure as we currently know it and introduce a new federal standard...more

12/19/2022  /  Amended Rules , Best Execution , Broker-Dealer , Disclosure Requirements , Investment Adviser , Proposed Amendments , Proposed Rules , Regulation Best Interest , Regulation NMS , Securities and Exchange Commission (SEC)
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