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
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
SEC/CORPORATE -
SEC Adopts Amendments to MD&A and Other Financial Disclosures -
On November 19, the Securities and Exchange Commission announced that it adopted amendments (the Amendments) to certain financial...more
SEC/CORPORATE -
SEC Adopts Amendments to Modernize Auditor Independence Rules -
On October 16, the Securities and Exchange Commission adopted amendments (the Amendments) to its long-standing auditor independence rules....more
BROKER-DEALER -
SEC Amends Exchange Act Rule 15c2-11 to Enhance Retail Investor Protections and Modernize Governing Quotations for Over-the-Counter Securities -
On September 16, the Securities and Exchange Commission...more
BROKER-DEALER -
FINRA Announces Updates to Interpretations of Margin Rule Regarding Control and Restricted Securities and Consolidation of Accounts -
On July 2, the Financial Industry Regulatory Authority (FINRA) issued...more
BROKER-DEALER -
CBOE Exchange Proposes to Temporarily Extend the Filing Deadline for Certain Supervision-Related Reports -
On June 1, Cboe Exchange, Inc. (Cboe) filed with the Securities and Exchange Commission a...more
BROKER-DEALER -
FINRA Issues Investor Alert Regarding Required Minimum Distributions -
The Financial Industry Regulatory Authority (FINRA) issued an Investor Alert regarding a new law raising the age for required...more
2/18/2020
/ Broker-Dealer ,
CFTC ,
Cryptoassets ,
Digital Assets ,
EMIR ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
IOSCO ,
MiFIR ,
National Futures Association ,
Required Minimum Distributions ,
SECURE Act