News & Analysis as of

Proposed Regulation Securities and Exchange Commission (SEC) Market Participants

Eversheds Sutherland (US) LLP

Required margining of certain agency MBS transactions may be on the horizon

On Friday, May 7, 2021, the Financial Industry Regulatory Authority (FINRA) filed a proposal with the Securities and Exchange Commission (SEC) to amend the provisions of a yet-to-become effective version of FINRA Rule 4210...more

Katten Muchin Rosenman LLP

BATS Proposes Rule to Expedite Action Against Manipulative Behavior

On July 30, BATS Exchange, Inc. filed a rule proposal with the Securities and Exchange Commission to expressly prohibit certain manipulative trading activity and to permit BATS to take prompt action against market...more

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