BROKER-DEALER -
FINRA Publishes 2021 Industry Spotlight -
On May 25, the Financial Industry Regulatory Authority (FINRA) published the 2021 FINRA Industry Spotlight (Industry Spotlight), which is FINRA’s annual...more
BROKER-DEALER -
Gary Gensler Names Initial Senior Staff Members -
On April 19, the Securities and Exchange Commission announced the appointments of SEC Chair Gary Gensler’s senior staff, who will be responsible for...more
SEC/CORPORATE -
Acting SEC Chair Lee Provides Public Statement Welcoming Public Comment on Climate Change Disclosures -
On March 15, Acting Securities and Exchange Commission Chair Allison Herren Lee made a public...more
3/22/2021
/ Broker-Dealer ,
CFTC ,
Climate Change ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
NFA ,
Securities and Exchange Commission (SEC)
BROKER-DEALER -
FINRA Requests Comments for Proposed Amendments to FINRA Rule 2165 -
On October 5, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 20-34, which requests comment on proposed...more
SEC/CORPORATE -
NYSE Provides Temporary Relief From Shareholder Approval Requirements Due to COVID-19 -
On May 14, the Securities and Exchange Commission announced the adoption and immediate effectiveness of Section...more
BROKER-DEALER -
SEC Announces Formation of Cross-Divisional COVID-19 Market Monitoring Group -
On April 24, the Securities and Exchange Commission (SEC) announced the formation of an internal, crossdivision COVID-19...more
SEC/CORPORATE -
SEC Proposes New Amendments to Modernize Shareholder Proposal Rules -
On November 5, the Securities and Exchange Commission voted to propose amendments to Rule 14a-8 of the Securities Exchange of 1934...more
11/11/2019
/ Broker-Dealer ,
CFTC ,
Corporate Governance ,
Derivatives ,
Financial Conduct Authority (FCA) ,
Investment Adviser ,
No-Action Letters ,
Proxy Season ,
Proxy Voting Guidelines ,
Publicly-Traded Companies ,
Rule 14a-8 ,
Securities and Exchange Commission (SEC) ,
Shareholder Proposals ,
UK Brexit
SEC/CORPORATE -
Federal Court Rules Investment Fund is 10 Percent Owner in Section 16 Case -
On August 20, a federal magistrate judge in the Eastern District of New York granted a motion for summary judgment in a...more
BROKER-DEALER -
SEC Extends Compliance Date for Regulation NMS Changes -
The Securities and Exchange Commission has extended the compliance dates for amendments to Rule 606 of Regulation National Market System (NMS)...more
5/6/2019
/ Broker-Dealer ,
CBOE ,
CFTC ,
Derivatives ,
EMIR ,
EU ,
Fake Websites ,
FBI ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
IOSCO ,
National Market System (NMS) ,
Securities and Exchange Commission (SEC) ,
Swap Data Repositories ,
Swap Dealers ,
Websites
BROKER-DEALER -
FINRA Issues Information Notice Regarding Suspicious Email Sent to Member Firms -
On February 13, the Financial Industry Regulatory Authority (FINRA) published an information notice alerting member firms...more
2/25/2019
/ Broker-Dealer ,
BSA/AML ,
CFTC ,
Collective Investment Schemes ,
Counterparty Risk ,
Cybersecurity ,
Derivatives ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
No-Deal Brexit ,
UK
On April 18, concurrently with its publication for comment of a proposed set of enhanced investment adviser regulations, the Securities and Exchange Commission (SEC) published a separate proposal related to the conduct...more