The SEC's Rule 10c-1a now mandates the reporting of securities loans, marking a significant regulatory shift.
Potential challenges in implementing SLATE, including the need for possible adjustments to data dissemination...more
As a follow-up to our prior discussion in this area, this article addresses a recent exemption issued to the New York Stock Exchange ("NYSE") by the Securities and Exchange Commission ("SEC") that allows for increased trading...more
3/10/2025
/ Bonds ,
Broker-Dealer ,
Capital Markets ,
Compliance ,
Debt Securities ,
Disclosure Requirements ,
NYSE ,
Regulatory Requirements ,
Securities ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Exchange Act of 1934 ,
Securities Regulation
FINRA recently published its 90-page 2024 Annual Regulatory Oversight Report (Report) providing member firms with insight into six primary topics: Financial Crimes, Crypto Asset Development, Firm Operations, Communications...more
1/17/2024
/ Anti-Money Laundering ,
Bank Secrecy Act ,
Books & Records ,
Consolidated Audit Trail ,
Crowdfunding ,
Cryptoassets ,
Cybersecurity ,
Disclosure Requirements ,
Economic Sanctions ,
Financial Crimes ,
Financial Industry Regulatory Authority (FINRA) ,
Form CRS ,
Fraud ,
Liquidity ,
MSRB ,
Net Capital Rule ,
Policies and Procedures ,
Regulation BI ,
Regulatory Oversight ,
Reporting Requirements ,
Risk Management ,
Variable Annuities