SEC relief streamlines noncustodial settlement of digital asset trades, but broker-dealer custody is still off-limits.
On September 25, 2020, the US Securities and Exchange Commission (SEC) issued a no-action letter (the...more
The SEC proposes a welcome and significant increase in the 13F reporting threshold from US$100 million to US$3.5 billion.
On July 10, 2020, the US Securities and Exchange Commission (SEC) released a proposed rule amendment...more
The guidance highlights certain issues identified by FINRA regarding member firm communications to retail investors in private placement offerings.
On July 1, 2020, the Financial Industry Regulatory Authority (FINRA)...more
As COVID-19 disruptions unfold, FINRA has granted temporary relief regarding alternate working arrangements for broker-dealer employees.
On March 9, 2020, the Financial Industry Regulatory Authority, Inc. (FINRA) issued...more
The amendments expand certain exemptions and provide additional guidance under Rules 5130 and 5131 with respect to equity IPO allocations.
On December 19, 2019, the Financial Industry Regulatory Authority (FINRA) issued...more
1/22/2020
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The Annual Report provides transparency on FINRA’s recent examination findings and focus for the coming year.
On October 16, 2019, the Financial Industry Regulatory Authority (FINRA) published its annual Report on...more
The settled order is the first SEC action charging a seller of digital tokens as an unregistered broker-dealer.
On September 11, 2018, the U.S. Securities and Exchange Commission (SEC) announced a settled order instituting...more
How should broker-dealers, investment advisers, and other registered firms in the US, UK, and Hong Kong address cryptocurrencies in their compliance programs?
Originally published on bloombergbna.com on April 16,...more
The proposed consolidated rules bifurcate the representative-level examination program and introduce greater flexibility in obtaining and maintaining registrations.
On March 8, 2017, the Financial Industry Regulatory...more
Placement agents to private funds who seek investments by state and local pension plans must comply with restrictions on political contributions and related activities.
On August 25, 2016, the Securities Exchange...more