Tiffany Smith

WilmerHale

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SEC Proposes Significant New Regulatory Obligations for Communication Protocol Systems and Government Securities ATSs

The Securities and Exchange Commission (SEC) proposed significant changes to the regulation of securities trading systems that use non-firm trading interest and alternative trading systems (ATSs) that trade government...more

2/10/2022 / Alternative Trading System (ATS) , Broker-Dealer , Comment Period , Government Securities , Proposed Regulation , Regulation SCI , Regulatory Requirements , Securities and Exchange Commission (SEC) , Securities Exchange Act

The SEC Issues Statement and Requests Comment Regarding the Custody of Digital Asset Securities by Special Purpose Broker-Dealers

On December 23, 2020, the Securities and Exchange Commission (SEC or Commission) issued a statement (Statement) regarding the custody of digital assets that are “securities” under the federal securities laws. The Statement...more

2/2/2021 / Broker-Dealer , Chain of Custody , Comment Period , Custody , Digital Assets , Securities and Exchange Commission (SEC) , Securities Exchange Act

FINRA Requests Comment on Proposed New Outside Business Activities Rule

FINRA is seeking comment on a proposed new rule, FINRA Rule 3290 (the “Proposed Rule”), which governs the outside business activities and private securities transactions of registered persons. The Proposed Rule would replace...more

4/3/2018 / Comment Period , Financial Industry Regulatory Authority (FINRA) , Proposed Rules

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