News & Analysis as of

Equity Markets Financial Industry Regulatory Authority (FINRA)

Dorsey & Whitney LLP

Injecting Transparency & Competition into Equity Markets

Dorsey & Whitney LLP on

The Commission’s rule writing calendar may be about to have a meltdown. The agency is considering a number of significant rule writing-proposals covering important areas. A number of those proposals are controversial,...more

Dechert LLP

FINRA Proposes Amendments to Rules 5130 and 5131 Governing Purchase and Sale of Initial Equity Public Offerings and New Issue...

Dechert LLP on

The Financial Industry Regulatory Authority on July 26, 2019 filed with the Securities and Exchange Commission a proposal to amend FINRA Rules 5130 and 5131 (collectively, Rules) (Proposed Amendments).1 The Proposed...more

Proskauer - Corporate Defense and Disputes

Ketchum Clarifies How FINRA Will Assess a Firm’s Culture of Compliance

In an April 15, 2016 speech to the Brookings Institution, FINRA CEO Richard G. Ketchum addressed the fundamental question of whether the equity markets are sufficiently fair, flexible, and efficient to encourage the...more

Morrison & Foerster LLP - Structured Products

Structured Thoughts: News for the financial services community, Volume 7, Issue 1

T+2 Settlement and Structured Notes - Introduction - In December 2015, the “T+2 Industry Steering Committee” published its Implementation Playbook. The Playbook is intended to provide, among other things, a...more

King & Spalding

Our Modern Markets: SEC Enforcement Focuses On Market Structure In Response To Rapidly-Changing Equity Markets

King & Spalding on

On Monday, November 2, 2015, Andrew Ceresney, Director of the SEC’s Division of Enforcement, gave a speech at the SIFMA Compliance & Legal Society New York Regional Seminar in which he sought to address what he views as the...more

Dorsey & Whitney LLP

The SEC And A Dark Pool That Is Not Dark Enough

Dorsey & Whitney LLP on

High speed trading, dark pools and similar market structure issues have become hotly debated topics. Former CFTC Commissioner Bart Chilton gave several speeches discussion the subjects and proposed that high speed traders be...more

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