News & Analysis as of October 19, 2024

Broker-Dealer

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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 -

EU AI Act: Key Points for Financial Services Businesses

Goodwin on 8/12/2024

The European Union (EU) Artificial Intelligence Act (AI Act), Regulation (EU) 2024/1689 of the European Parliament and of the Council of 13 June 2024 laying down harmonised rules on artificial intelligence and amending...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

European Commissioner Announces Proposed Extension of Equivalence for UK CCPs

A&O Shearman on 12/16/2021

European Commissioner McGuinness has announced that in early 2022 the European Commission will be proposing an extension of the time-limited equivalence granted to U.K. CCPs...more

Privacy Report: Senators Introduce Bipartisan Bill to Update Children’s Online Privacy Rules

ArentFox Schiff on 6/9/2021

The legislation updates the Children’s Online Privacy Protection Act (COPPA) by prohibiting internet companies from collecting personal information from anyone 13- to 15-years old without the user’s consent Senators...more

Corporate & Financial Weekly Digest, Featuring Articles on FINRA's Proposed Supplemental Liquidity Schedule and ESMA's Exploration...

Katten Muchin Rosenman LLP on 5/24/2021

BROKER-DEALER - Notice of Filing of a Proposed Rule Change to Adopt a Supplemental Liquidity Schedule - The Securities and Exchange Commission is seeking comments on a Financial Industry Regulatory Authority (FINRA)...more

Corporate and Financial Weekly Digest, Featuring Articles on the Latest CFTC Proposals for Swap Margins, Non-US Clearing...

Katten Muchin Rosenman LLP on 7/29/2019

BROKER-DEALER - CBOE Proposes Amendments to Rule 6.49A Concerning Off-Floor Position Transfers Including RWA Transfers - CBOE Exchange, Inc. (CBOE) recently filed a proposal to amend its Rule 6.49A to amend provisions...more

Corporate & Financial Weekly Digest, Featuring Articles on EDGAR Hacking Scheme, AIFMD Operation, and FINRA Issues Regarding...

Katten Muchin Rosenman LLP on 1/21/2019

BROKER-DEALER - SEC and New Jersey US Attorney’s Office Bring Parallel Charges in EDGAR Hacking Scheme - On January 15, the Securities and Exchange Commission announced charges against nine defendants, alleging their...more

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 8/10/2018

U.S. Financial Industry Developments - FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer Industry - On July 30, 2018, the Financial Industry Regulatory Authority ("FINRA") published a...more

Corporate & Financial Weekly Digest, Featuring Topics on Broker/Dealer and UK/EU Developments

Katten Muchin Rosenman LLP on 4/16/2018

BROKER-DEALER - Nasdaq Has Proposed a New Rule Change To Modify Its System of Volume-Based Credits - The Nasdaq Stock Market LLC (Nasdaq) has filed with the Securities and Exchange Commission a proposed rule change to...more

UK Asset Management Regulatory Roundup - March 2018 - Issue 6

Dechert LLP on 3/22/2018

A compact summary of the most recent regulatory developments relevant to the UK asset management industry. This issue includes details of the FCA’s approach to authorisation; action taken on closet tracking funds; proposed EU...more

Asset Management Regulatory Roundup - November 2017 - Issue 9

Dechert LLP on 11/1/2017

A compact summary of the most recent regulatory developments relevant to the UK asset management industry. This issue includes details on SEC’s no action letters and Commission’s FAQs on “hard dollar” research payments under...more

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 11/4/2016

Financial Industry Developments - SEC Adopts Final Rules to Facilitate Intrastate and Regional Securities Offerings - On October 26, 2016, the Securities and Exchange Commission adopted rules designed to modernize...more

Financial Services Weekly News - March 2016 #2

Goodwin on 3/11/2016

Regulatory Developments - MSRB Publishes Compliance Advisory for Brokers, Dealers and Municipal Securities Dealers - The MSRB recently published its first Compliance Advisory for Brokers, Dealers and Municipal...more

Corporate and Financial Weekly Digest - Volume X, Issue 40

Katten Muchin Rosenman LLP on 10/19/2015

BROKER-DEALER - FINRA Requests Comment on Revised Price Disclosure Information Standards for Corporate and Agency Debt Securities - The Financial Industry Regulatory Authority issued a regulatory notice...more

Bridging the Week - August 2015

Katten Muchin Rosenman LLP on 8/4/2015

ESMA Says “No for Now” to Granting Passport Rights to US Fund Managers Under AIFMD: The European Securities and Markets Authority told the European Commission last week that it was premature to grant passport rights to...more

Corporate and Financial Weekly Digest - December 21, 2012

Katten Muchin Rosenman LLP on 12/24/2012

In this issue: - Nallengara to Replace Cross as Corp. Fin. Chief - FINRA Rule Relating to Private Placements of Securities Effective December 3 - Additional Guidance on FINRA’s Suitability Rule - No-Action...more

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