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
3/29/2021
/ Bank of England ,
Coronavirus/COVID-19 ,
EU ,
European Securities and Markets Authority (ESMA) ,
False Claims Act (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
NFA ,
Securities and Exchange Commission (SEC) ,
UK ,
UK Brexit ,
Whistleblowers
BROKER-DEALER -
SEC and FDIC Adopt Final Rule on the Orderly Liquidation of Covered Broker-Dealers Under Dodd-Frank -
On July 24, the Securities and Exchange Commission announced that the SEC and the Federal Deposit...more
BROKER-DEALER -
SEC Amends CAT NMS Plan -
On May 15, the Securities and Exchange Commission adopted amendments to the national market system plan governing the consolidated audit trail (the CAT NMS Plan). The Financial...more
SEC/CORPORATE -
SEC Further Extends Filing Deadlines for Companies Impacted by COVID-19 -
On March 25, the Securities and Exchange Commission issued an order extending conditional relief (the Modified Order) for...more