NFA Chairman Chris Hehmeyer Talks Bankruptcy Reform
Confirmations: NFA and CME’s Financial Match.com
BROKER-DEALER - SEC Issues Amendments, Seeks Public Comment on Holding Foreign Companies Accountable Act - On March 24, the Securities and Exchange Commission adopted interim final amendments to implement...more
BROKER-DEALER - SEC Issues No Action Letter on Treatment of Reserved Powers Trust as Non-US Person by Non-US Investment Adviser for Registration Exemption - On March 5, the Securities Exchange Commission’s Division of...more
SEC/CORPORATE - SEC Staff Releases Sample Comment Letter on Securities Offerings During Periods of Market and Price Volatility - On February 8, the staff of the SEC’s Division of Corporation Finance (the Staff)...more
SEC/CORPORATE - SEC Proposes Rule 144 Tacking Amendments - On December 22, 2020, the Securities and Exchange Commission voted to propose amendments to Rule 144 under the Securities Act of 1933 (the Securities Act)...more
BROKER-DEALER - SEC Adopts Rules to Modernize Infrastructure for NMS Market Data - On December 9, the Securities and Exchange Commission adopted final rules that aim to modernize the infrastructure related to the...more
SEC/CORPORATE - SEC Issues C&DI on Use of Form S-3 by SPACs - On September 21, the Division of Corporation Finance of the Securities and Exchange Commission issued a new Compliance and Disclosure Interpretation (C&DI)...more
SEC/CORPORATE - SEC Division of Corporation Finance Issues Additional Disclosure Guidance Related to COVID-19 Pandemic - On June 23, the Division of Corporation Finance (the Division) of the Securities and Exchange...more
Nearly a year after then-acting US Commodity Futures Trading Commission (CFTC) Chairman J. Christopher Giancarlo actively promoted FinTech innovation as a key to economic growth, he has minted a groundbreaking FinTech...more
Editor's Note - OCC to Move Forward with Federal FinTech Charter. In a development foreshadowed in the April 6, June 29 and September 14 editions of the Roundup, on December 2, the Office of the Comptroller of the...more