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
On November 22, 2024, the Securities and Exchange Commission's ("SEC") Division of Trading and Markets issued a much-anticipated "no-action letter" ("2024 NAL") clarifying the application of amended Rule 15c2-11 under the...more
Earlier this year, FINRA filed with the SEC a proposed series of rules requiring, for the first time, the reporting of securities loans and providing for the public dissemination of loan information through FINRA's Securities...more
"The United States, with its history of welcoming innovators, has a large reserve of good will. In a country that ever aspires to improve with time, people are hopeful that bad policy approaches can change. This hope is not...more
The U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and the Exchanges were active across a host of regulatory issues impacting fintech companies and broker-dealers during...more
10/2/2024
/ Analytics ,
Anti-Money Laundering ,
Books & Records ,
Broker-Dealer ,
Civil Monetary Penalty ,
Compliance ,
Customer Identification Program (CIP) ,
Cyber Incident Reporting ,
Disciplinary Proceedings ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
FinTech ,
Influencers ,
Investment Advisers Act of 1940 ,
MSRB ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934