News & Analysis as of September 18, 2024

European Union › Alternative Trading System (ATS)

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The European Union is an economic and political partnership comprised of 27 nations within the Eurozone. The EU was established in 1948 to promote stability and cooperation among member states in the aftermath of WWII. The EU maintains a common currency as well as several intranational institutions, including the European Parliament and the European Commission. less -

Stumbling Block? What is the Path Ahead for DeFi Through the Eyes of Policymakers?

BCLP on 2/12/2024

DeFi development carried quietly on throughout 2023, but DeFi protocols also faced significant hurdles. In the US, the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) increased their...more

Overview of crypto asset class regulations in the EU and the US

Dechert LLP on 1/27/2023

This OnPoint summarizes the panel discussion at Dechert’s annual investment funds conference that took place in Luxembourg in the last quarter of 2022. At the conference, we discussed the Regulation on the Markets of Crypto...more

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 7/27/2018

U.S. Financial Industry Developments - SEC Adopts Rules to Enhance Transparency and Oversight of Alternative Trading Systems - On July 18, 2018, the Securities and Exchange Commission ("SEC") voted to adopt amendments...more

Corporate and Financial Weekly Digest - Volume XI, Issue 31

Katten Muchin Rosenman LLP on 8/15/2016

BROKER-DEALER - FINRA Issues Notice Regarding SEC’s Approval of New NMS Stock Recording and Reporting Requirements Rule - On August 8, the Financial Industry Regulatory Authority issued Regulatory Notice 16-28,...more

Corporate and Financial Weekly Digest - Volume XI, Issue 17

Katten Muchin Rosenman LLP on 5/2/2016

BROKER-DEALER - SEC Modifies and Extends Pilot Program for NMS Plan to Address Extraordinary Market Volatility - The Securities and Exchange Commission has issued an order that modifies and extends the National...more

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