News & Analysis as of

Broker-Dealer IOSCO

Davis Wright Tremaine LLP

Broker Dealer Regulatory Digest - April 2024

Editor's Note - The following newsletter provides a roundup summarizing enforcement actions, guidance, rulemakings, and other public statements taken by a federal and/or state financial services regulatory agency,...more

Davis Wright Tremaine LLP

Broker Dealer Regulatory Digest - February 2024

The following newsletter provides a roundup summarizing enforcement actions, guidance, rulemakings, and other public statements taken by a federal and/or state financial services regulatory agency, specifically focusing on:...more

BakerHostetler

Fintech Firms Launch New Products; Crypto Guidance Published by CFTC, EBA, UAE; OFAC Adds Public Keys to SDN List; CFTC, NY AG...

BakerHostetler on

Crypto Firms Announce New Product Launches in Custody, Stablecoins, Wallets - According to a recent press release, Prometheum Capital has received the first-ever approval from the Financial Industry Regulation Authority...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on FINRA Issues Investor Alert on Required Minimum Distributions, IOSCO...

BROKER-DEALER - FINRA Issues Investor Alert Regarding Required Minimum Distributions - The Financial Industry Regulatory Authority (FINRA) issued an Investor Alert regarding a new law raising the age for required...more

Katten Muchin Rosenman LLP

Bridging the Week - November 2019 #2

A social media company and its wholly owned subsidiary sued by the Securities and Exchange Commission for conducting an offering of an unregistered digital security claimed that the agency was wrong in its characterization of...more

Dechert LLP

ESMA Consults on UCITS Performance Fees – Key Considerations for Irish UCITS

Dechert LLP on

ESMA published a consultation (the “Consultation”) on draft guidelines for UCITS performance fees (the “Draft Guidelines”) on the 16 July 2019. The objective of the Consultation is to obtain stakeholder feedback on the...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest, Featuring Articles on the Latest CFTC Proposals for Swap Margins, Non-US Clearing...

BROKER-DEALER - CBOE Proposes Amendments to Rule 6.49A Concerning Off-Floor Position Transfers Including RWA Transfers - CBOE Exchange, Inc. (CBOE) recently filed a proposal to amend its Rule 6.49A to amend provisions...more

A&O Shearman

International Organization for Securities Commissions Publishes Report on Liquidity in Corporate Bond Markets Under Stressed...

A&O Shearman on

The International Organization for Securities Commissions has published a report studying the effect of stressed market conditions on liquidity in corporate bond markets. The report arose out of concerns about liquidity in...more

Katten Muchin Rosenman LLP

Bridging the Weeks - June 2019

Last week, a Canada-based social media company was sued by the Securities and Exchange Commission for purportedly conducting an unregistered securities offering to United States persons in connection with an initial coin...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest - Volume XIV, Issue 21

BROKER-DEALER - FINRA Issues Regulatory Notice Reminding Member Firms about CAT Reporting Deadlines - On May 21, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 19-19 (Notice), which reminds...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on a FINRA Warning on Imposter Websites and Proposed Rules Changes on...

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

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on Uncleared Swap Margin Rule, PACE Financing, Hart-Scott-Rodino and...

BROKER-DEALER - SEC Chairman Clayton and Trading and Markets Director Redfearn Call for a Reassessment of Regulation NMS - On March 8, US Securities and Exchange Commission chairman Jay Clayton and director, Division...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Topics on Broker/Dealer and UK/EU Developments

BROKER-DEALER - Nasdaq Has Proposed a New Rule Change To Modify Its System of Volume-Based Credits - The Nasdaq Stock Market LLC (Nasdaq) has filed with the Securities and Exchange Commission a proposed rule change to...more

Katten Muchin Rosenman LLP

Bridging the Week - June 2015 #5

UK Regulators Implement Tougher Pay Rules for Banking Institutions’ Senior Managers: The United Kingdom Prudential Regulation Authority and Financial Conduct Authority have adopted new rules regarding the remuneration of...more

Katten Muchin Rosenman LLP

Bridging the Week - May 2015 #2

Two Traders Subject of CME Summary Suspension for Alleged Spoofing Sued by CFTC Too - Last week, the Commodity Futures Trading Commission commenced a lawsuit in federal court in New York against Heet Khara and Nasim...more

Katten Muchin Rosenman LLP

Bridging the Week - March 2015 #4

ICE Futures Fined US $3 Million by CFTC for Reporting Errors and Untimely Response to Inquiries - The Commodity Futures Trading Commission fined ICE Futures U.S., Inc. US $3 million last week for filing allegedly...more

Goodwin

Financial Services Weekly News Roundup - March 2015 #2

Goodwin on

SEC Spotlight on Broker-Dealer Supervision of Outside Business Activities of Registered Representatives. In this issue we report on the SEC’s settled administrative proceedings against H.D. Vest Investment Securities,...more

Katten Muchin Rosenman LLP

Bridging the Week - December 2014

CFTC Issues CME Group Report Card: Scores Generally Good But NYMEX and COMEX Directed to Continue to Enhance Spoofing Surveillance - The Chicago Mercantile Exchange Group found early presents under its Christmas tree...more

Katten Muchin Rosenman LLP

Bridging the Week - November 2014 #4

Broker-Dealer and Two Senior Officers Fined US $2.5 Million for Market Access Violations - Wedbush Securities Inc. and two senior officers resolved an enforcement action previously filed against them during June 2014...more

Dechert LLP

FSB and IOSCO to Consider Standards for Treating Investment Funds and Asset Managers as Global Systemically Important Financial...

Dechert LLP on

The Financial Stability Board (FSB), in consultation with the International Organization of Securities Commissions (IOSCO), issued “Assessment Methodologies for Identifying Non-Bank Non-Insurer Global Systemically Important...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week in Review - August 5, 2013

Joint Release on Stress-Test Guidance - On July 30, the FDIC, Fed and OCC released a request for comment on proposed guidance describing supervisory expectations for stress tests required by the Dodd-Frank Act to be...more

21 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide