News & Analysis as of September 18, 2024

Office of the Comptroller of the Currency › Securities Transactions

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OCC Advises Banks on How to Prepare for Shortening the Standard Securities Settlement Cycle

Troutman Pepper on 1/19/2024

On January 17, the Office of the Comptroller of the Currency (OCC) issued a bulletin advising banks on how to prepare for the upcoming shortening in the standard securities settlement cycle for most U.S. securities...more

SEC Proposes Rules to Include Certain Significant Market Participants as “Dealers” or “Government Securities Dealers”

Goodwin on 4/1/2022

In This Issue. The U.S. Securities and Exchange Commission (SEC) proposed rules to include certain significant market participants as “dealers” or “government securities dealers” to essentially eliminate the trader exclusion...more

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Office of the Comptroller of the Currency › Securities Transactions

OCC Advises Banks on How to Prepare for Shortening the Standard Securities Settlement Cycle

SEC Proposes Rules to Include Certain Significant Market Participants as “Dealers” or “Government Securities Dealers”

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