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FINRA has published a regulatory notice requesting comment on a long-awaited proposal to create a safe harbor that will exempt qualifying desk commentary from most of its equity and debt ...
On March 22, the SEC approved a rule amendment to shorten the standard settlement cycle for most broker-dealer securities transactions to two business days after the trade date (T+2) from...
On November 15, 2016, the SEC approved a plan to create a consolidated audit trail (the “CAT”) that will contain a record of order events for most equity and listed options transactio...
President-Elect Trump’s transition website promises to “dismantle the Dodd-Frank Act and replace it with new policies to encourage economic growth and job creation.” To help our cl...
On September 28, in a long-anticipated move, the SEC proposed to shorten the standard settlement cycle for most broker-dealer transactions to two business days after the trade date (T+2) ...
This article first appeared in Compliance Reporter.
A key hurdle in preparing for life as a security-based swap dealer (SBSD) will be implementing operational changes and written policies...
The SEC recently approved a FINRA proposal to establish a new limited membership category for broker-dealers engaged solely in certain corporate financing advisory and capital raising act...
On July 14, 2016, the Securities and Exchange Commission adopted amendments to and provided guidance on Regulation SBSR, its rules governing the reporting and public dissemination of secu...
On July 13, 2016, the Securities and Exchange Commission (“SEC”) proposed amendments (the “Proposal”) to Rule 606 of Regulation NMS that would require, for the first time, broker-...
In July 18, 2016, FINRA filed with the SEC a proposal that would expand the TRACE reporting rules to require FINRA members to report most transactions in U.S. Treasuries, which include Tr...
