News & Analysis as of

GameStop

Shearman & Sterling LLP

Permanent Lower Threshold for Notification of Net Short Positions Under EU Short Selling Regulation Announced

A Commission Delegated Regulation, published in the Official Journal of the European Union, amends the EU Short Selling Regulation to make permanent the lower notification threshold for notifying national regulators of net...more

Thomas Fox - Compliance Evangelist

Compliance Into The Weeds - Year End Review, Part 1

Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to more fully explore a subject. Today, Matt and I begin a special two-part year-end...more

World Law Group

The Rise of the Retail Investor and the Impact of Shareholder Activism

World Law Group on

Earlier this year, we saw the rise of shareholder activism in the Reddit v. Goliath story on Wall Street.  Let’s take a look back at this story. What is GameStop and why was everyone so fixated on it? ...more

Katten Muchin Rosenman LLP

Market Trading Trends: Expect Regulatory Guidance to Accelerate

Gamification tactics and investment advice from social media influencers and chat rooms are just a couple of the disruptive technologies and behaviors that are capturing the attention of regulators in 2021 and forcing them to...more

Carlton Fields

The SEC May Soon Propose Changes to Equity Market Structure: What Traders Should Know

Carlton Fields on

On October 14, the Securities and Exchange Commission (SEC) released its report regarding the GameStop event of January 2021. The report does not fault the actions of any market participants. Instead, it outlines the U.S....more

ACA Group

Let’s Talk Turkey: Advisors May Not Charge Fees for No Services; Roaring Kitty’s Social Media and Personal Trading Activities...

ACA Group on

Lessons Learned - Out of Sight, Out of Mind – Advisor Continued to Charge Clients Fees for No Services After IARs Departed. Two Investment Advisor Representatives (IARs) left the firm, and although the impacted clients...more

Shearman & Sterling LLP

European Securities and Markets Authority Issues Statement on Investment Recommendations on Social Media

Shearman & Sterling LLP on

The European Securities and Markets Authority has issued a statement on the requirements under the EU Market Abuse Regulation for firms and individuals that make investment recommendations on social media. ESMA is concerned...more

Robins Kaplan LLP

Financial Daily Dose 11.1.2021 | Top Story: Barclays CEO Out Over Ties to Epstein

Robins Kaplan LLP on

Barclay’s CEO Jes Staley is stepping down immediately after a two-year investigation by the UK’s Financial Conduct Authority and the Prudential Conduct Authority into Staley’s “relationship with the disgraced financier...more

Burr & Forman

Gamification of Securities Trading: Big Risk or Just Evolution?

Burr & Forman on

In remarks this week at SEC Speaks, SEC Investor Advocate Rick Fleming mused that the “gamification” of securities trading might pose an undue risk that exploits a potential loophole in Regulation Best Interest (“Reg. BI”)....more

Carlton Fields

SEC’s Upcoming Report on GameStop and Payment for Order Flow: What to Watch

Carlton Fields on

The Securities and Exchange Commission (SEC) will soon release its report and recommendations regarding the GameStop event last January and related equity market structure issues. In testimony before a Senate committee on...more

Carlton Fields

Stopping GameStop Games: Regulators Eye Payment for Order Flow

Carlton Fields on

The SEC and FINRA have been busy of late in efforts to address issues associated with payment for order flow (PFOF) and the consequences of the trading halt in GameStop shares last January. PFOF has potentially significant...more

Robins Kaplan LLP

Financial Daily Dose 8.13.2021 | Top Story: Disney Beats Quarterly Expectations on Back of Massive Streaming Numbers

Robins Kaplan LLP on

While the Delta variant threatens Disney’s big theme park reopenings (and its recent return to profit in that sector after a year in the red), Big Mouse’s streaming service continues to deliver. Disney+ wrapped its fiscal Q3...more

Carlton Fields

Regulators Consider Payment for Order Flow and the Gamification of Trading After GameStop

Carlton Fields on

The U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) have been busy of late in efforts to address alleged compliance issues associated with payment for order flow (PFOF),...more

Hogan Lovells

Preparing for the Regulatory Response to ‘Meme’ Stock Investing

Hogan Lovells on

The GameStop saga continues to play out nearly six months later, with the SEC and other regulators looking at possible enforcement actions. Hogan Lovells partner Aaron Cutler and Chase Kroll, director of strategic...more

Robins Kaplan LLP

Financial Daily Dose 6.10.2021 | Top Story: TC Energy Abandons Controversial Keystone XL Pipeline Project

Robins Kaplan LLP on

After years of protests, lobbying, and legal battles, TC Energy—the Canadian pipeline company behind the embattled Keystone XL pipeline project that “would have carried petroleum from Canadian tar sands to Nebraska”—announced...more

BCLP

SEC Chair Directs Staff to Consider New Rules to Manage Risks Highlighted by Game-Like Trading Apps

BCLP on

SEC Chair Gary Gensler testified yesterday before the House Committee on Financial Services about the SEC’s efforts to assess and address the market volatility that occurred in GameStop and other “meme stocks” resulting in...more

Mayer Brown Free Writings + Perspectives

Chair Gensler Congressional Testimony Sheds Light on Potential Regulation

Yesterday, for the first time as Chair of the Securities and Exchange Commission, Gary Gensler appeared before Congress to provide testimony regarding the market disruptions and volatility witnessed in January 2021 relating...more

Robins Kaplan LLP

Financial Daily Dose 3.18.2021 | Top Story: Fed Commits to Near-Zero Rates Despite Improving Economy

Robins Kaplan LLP on

The latest and greatest from Fed Chair Powell as the Fed’s March Open Markets Committee meeting wrapped yesterday, including a markets-pleasing assurance that better-than-expected economic growth wasn’t enough to push the...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

r/wallstreetbets is another reason why I hate self directed brokerage accounts

What the Reddit group wallstreetbets did with Gamestop in a short squeeze was something quite amazing. I joined in for a couple of days with the purchase of AMC stock that I quickly dumped after only making a couple of...more

ACA Group

Regulatory Scrutiny Continues on Broker-Dealer Payments for Order Flow, March Madness – NCAA Players Scammed, Resources on the...

ACA Group on

Lessons Learned - Payment for Order Flow Gets Another Broker into Hot Water for Undisclosed Conflicts. The SEC found Lightspeed Trading, LLC (“Lightspeed”), formerly a registered broker-dealer, guilty of securities fraud...more

Burr & Forman

Robinhood to Settle Options-Related Investigations?

Burr & Forman on

In an SEC filing Friday, February 26, Robinhood Financial and Robinhood Securities disclosed they are negotiating with FINRA, the SEC, and state regulators, attempting to settle investigations into options-trading and outages...more

Robins Kaplan LLP

Financial Daily Dose 3.1.2021 | Top Story: Walmart Poaches Goldman Bankers in Bid to Bolster Fintech Venture

Robins Kaplan LLP on

Walmart’s recent move to hire away a “pair of senior Goldman Sachs bankers” to head up the retailer’s new fintech startup (a collaboration with Ribbit Capital) has tongues wagging about the company’s ambitions to shove its...more

Hogan Lovells

Securities and markets regulatory news, March 2021

Hogan Lovells on

UK CCPs: HM Treasury consults on expanded resolution regime - HM Treasury is consulting on an expanded resolution regime for central counterparties (CCPs). HM Treasury intends to revise and expand the UK CCP resolution...more

Burr & Forman

DTCC Proposes Path to T+1 Settlement Cycle in Two Years

Burr & Forman on

The Deposit Trust & Clearing Corp. (“DTCC”) released a February 24 roadmap for shortening the settlement cycle for US equities by half over the next two years.  The proposal anticipates DTCC’s completion of its “Project ION”...more

Robins Kaplan LLP

Financial Daily Dose 2.25.2021 | Top Story: McKinsey Ousts Managing Partner on Heels of Opioid Settlement

Robins Kaplan LLP on

In the wake of McKinsey’s $600 million settlement with states over sales advice it had given drugmakers on opioids, partners at the consulting powerhouse have voted out the firm’s top executive, Kevin Sneader. ...more

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