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Investment Banks › Proposed Regulation

Holland & Knight LLP

SPAC Update: Tremors Felt from Proposed SPAC Rules as Investment Bank Signals Retreat

Holland & Knight LLP on

In a little more than a month, the SEC's proposed special purpose acquisition company (SPAC) rules have started to reshape the market landscape. In a concise statement issued on May 9, a prominent investment bank announced it...more

Broker-Dealer Compliance + Regulation

FINRA Releases Proposed Rule to Reduce the Regulatory Burdens on Boutique Investment Banks

Broker-Dealer Compliance + Regulation on

FINRA has filed with the SEC a proposed rule which would reduce the regulatory burden for broker-dealers that limit their activities to M&A and certain corporate financing transactions. The proposed rule would create a new...more

WilmerHale

A Bold New Regulatory Landscape for Research: SEC Approves FINRA Rules Addressing Conflicts of Interest for Equity and Debt...

WilmerHale on

More than ten years after the Global Research Settlement and the adoption of NASD Rule 2711, the Securities and Exchange Commission (SEC or Commission) has approve new FINRA rules addressing conflicts of interest for both...more

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