BROKER-DEALER -
FINRA Requests Comment on Proposed Proceeding Rule for Failures to Comply With Qualification Examinations Rules of Conduct, Registration Requirements and Eligibility Proceedings Rules -
On September 22,...more
BROKER-DEALER -
SEC Proposes to Modernize Infrastructure for NMS Securities Market Data -
On February 14, the Securities and Exchange Commission proposed to modernize the infrastructure for the collection,...more
CFTC -
NFA Amends Interpretive Notice Regarding ISSPs -
On January 7, the National Futures Association (NFA) issued a notice to its members that amendments to its Interpretative Notice, entitled NFA Compliance Rules...more
1/14/2019
/ Cryptoassets ,
EU ,
EU Passport ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Information Systems Security Program (ISSP) ,
Investment Funds ,
MiFID II ,
MiFIR ,
NFA ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
UK Brexit ,
Withdrawal Agreement
BROKER-DEALER -
SEC Approves New Supplement to Options Disclosure Document -
On November 9, the Securities and Exchange Commission approved a new supplement (Supplement) to the Characteristics & Risks of Standardized...more
11/19/2018
/ Amended Rules ,
Broker-Dealer ,
Cryptocurrency ,
Digital Assets ,
European Securities and Markets Authority (ESMA) ,
MiFID II ,
Personal Data ,
Securities and Exchange Commission (SEC) ,
Securities Transactions ,
UK Brexit ,
Virtual Currency
CFTC -
CFTC Approves Proposed Regulations for CPOs and CTAs -
On October 9, the Commodity Futures Trading Commission approved proposed rules intended to simplify regulations for commodity pool operators (CPOs) and...more
10/15/2018
/ CFTC ,
Commodities ,
Commodity Trading Advisors (CTAs) ,
Consultation ,
CPOs ,
Derivatives ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
HM Treasury ,
MiFID II ,
Natural Gas ,
Swaps ,
UK Brexit
BROKER-DEALER -
FINRA Seeks Comment on Fintech Innovation in Broker-Dealer Industry -
On July 30, the Financial Industry Regulatory Authority (FINRA) issued a Special Notice requesting comment on how to continue to...more
BROKER-DEALER -
FINRA Releases New Targeted Exam Letter Regarding Order Routing Conflicts -
On November 10, the Financial Industry Regulatory Authority released the contents of a new Order Routing Conflicts targeted...more
11/20/2017
/ Agricultural Sector ,
Audits ,
Broker-Dealer ,
CFTC ,
Commodities ,
Derivatives ,
Enforcement Actions ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Initial Coin Offering (ICOs) ,
MiFID II ,
No-Action Relief ,
Securities and Exchange Commission (SEC) ,
UK
SEC/CORPORATE -
SEC Approves PCAOB Rule to Require Enhanced Audit Reports -
On October 23, the Securities and Exchange Commission approved new audit reporting standard, AS 3101, proposed by the Public Company Accounting...more
SEC/CORPORATE -
On May 4, Jay Clayton was sworn into office as the new chairman of the Securities and Exchange Commission. As discussed in the January 6 edition of the Corporate & Financial Weekly Digest, Mr. Clayton was a...more
FINRA Issues Report on Implications of Blockchain -
Broker-Dealer -
On January 18, the Financial Industry Regulatory Authority, responding to increased industry interest in distributed ledger technology (DLT) known...more
SEC Proposes Amendments To Update and Simplify Disclosure Requirements: A Closer Look -
On July 13, the Securities Exchange Commission proposed and requested comment regarding rule amendments to update and simplify...more
7/28/2016
/ AIFMD Passport ,
DTCC ,
EU ,
Eurozone ,
GAAP ,
IFRS ,
MiFID II ,
Regulation S-K ,
Regulation S-X ,
TRACE ,
Transparency
BROKER-DEALER -
2016 Examination Priorities Announced By SEC -
On January 11, the Securities and Exchange Commission released the Office of Compliance Inspections and Examinations’ (OCIE) 2016 examination...more
1/18/2016
/ CFTC ,
Cybersecurity ,
Derivatives ,
ETFs ,
EU ,
European Banking Authority (EBA) ,
Financial Conduct Authority (FCA) ,
Investment Funds ,
MiFID II ,
SEC Examination Priorities ,
Swap Clearing ,
UK
BROKER-DEALER -
FINRA Issues Investor Alert Regarding IRS Phone Scam -
The Financial Industry Regulatory Authority issued an Investor Alert warning investors about a phone scam involving phone calls allegedly...more
11/16/2015
/ CPOs ,
EU ,
FFIEC ,
Financial Industry Regulatory Authority (FINRA) ,
Form PQR ,
Internal Investigations ,
Major Swap Participants ,
MiFID II ,
Risk Management ,
Tax Scams ,
UK ,
Volcker Rule