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Modernizing FINRA Rules for Member Workplaces: A Call for Comments

FINRA previously announced in Regulatory Notice 25-04 that it is launching a broad review to modernize its rules regarding member firms and associated persons and identified the modern workplace as its area of initial focus....more

Do SEC Acting Chair’s Remarks Signal a Redux of Government Securities ATS Rulemaking?

On March 10, 2025, Acting Securities and Exchange Commission (SEC) Chair Mark Uyeda indicated in public remarks that he was directing the SEC staff to revisit a 2020 proposal under then-Chair Jay Clayton that, among other...more

An End to the Paper Chase? Proposed Bill Could Greatly Expand SEC Registrants’ E-Delivery Use

The House Committee on Financial Services passed the Improving Disclosure for Investors Bill of 2023 on April 26, 2023 with bipartisan support. If passed by Congress and signed into law, the bill could alter the regulatory...more

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