Ella Beres

Davis Wright Tremaine LLP

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Writing on a New SLATE – DWT's FINRA Expertise

The SEC's Rule 10c-1a now mandates the reporting of securities loans, marking a significant regulatory shift. Potential challenges in implementing SLATE, including the need for possible adjustments to data dissemination...more

3/20/2025  /  Compliance , Disclosure Requirements , Financial Industry Regulatory Authority (FINRA) , Financial Services Industry , Regulatory Requirements , Reporting Requirements , Rulemaking Process , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Regulation
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