The U.S. Securities and Exchange Commission (SEC or the Commission) proposed amendments on December 14, 2022, to Regulation National Market System (NMS) that, if adopted, would significantly alter the way certain orders in...more
The U.S. Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a risk alert (the risk alert) on April 7, 2020, regarding examinations that will focus on broker-dealers’...more
The U.S. Securities and Exchange Commission (SEC) held an open meeting on August 21, 2019, (the Open Meeting) and approved two items: (1) guidance regarding the proxy voting responsibilities of investment advisers under the...more
9/3/2019
/ Corporate Governance ,
Environmental Social & Governance (ESG) ,
Fiduciary Duty ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Management ,
New Guidance ,
Proxy Advisors ,
Proxy Advisory Firms ,
Proxy Voting Guidelines ,
Regulatory Oversight ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
The staffs of the Division of Trading and Markets (Division) of the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) (collectively, the “Regulators”) published a joint...more
7/18/2019
/ Books & Records ,
Broker-Dealer ,
Customer Protection Rule ,
Digital Assets ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
Initial Coin Offering (ICOs) ,
Investment Management ,
Joint Statements ,
Over The Counter Derivatives (OTC) ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
SIPA