Alexa Rollins

Alexa Rollins

Katten Muchin Rosenman LLP

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SEC Adopts T+1 Settlement Cycle - Capital Markets Compass | Issue 6

On February 15, 2023, the Securities and Exchange Commission (SEC) adopted amendments to Exchange Act Rule 15c6-1, including an amendment that decreased the standard settlement cycle for most broker-dealer transactions in...more

5/26/2023  /  Broker-Dealer , Compliance , Final Rules , Rule 15c6-1(a) , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Settlement Cycles , Securities Transactions

Corporate & Financial Weekly Digest, Featuring Articles on FINRA's Regulatory Notice on Policies and Procedures for Low-Priced...

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

2/15/2021  /  Broker-Dealer , CFTC , False Claims Act (FCA) , Financial Industry Regulatory Authority (FINRA) , NFA , Securities and Exchange Commission (SEC)
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