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FINRA rule change relating to private placements of securities
- Katten Muchin Rosenman LLP
- -
- USA
- -
- September 14 2012
The Financial Industry Regulatory Authority (FINRA) has issued Regulatory Notice 12-40 regarding the Securities and Exchange Commission’s approval of FINRA Rule 5123 relating to private placements of securities
JOBS Act: SEC proposes rules regarding solicitation and advertising in securities offerings
- Katten Muchin Rosenman LLP
- -
- USA
- -
- September 7 2012
The Jumpstart our Business Startups Act directed the Securities and Exchange Commission to (1) remove the prohibition under Rule 502(c) of Regulation D against general solicitation and general advertising in connection with offers and sales of securities made pursuant to Rule 506 (which provides an exemption from registration under the Securities Act of 1933 for private offerings) and (2) revise Rule 144A(d)(1) under the Securities Act to provide that securities sold pursuant to Rule 144A may be offered and advertised (but not sold) to persons other than qualified institutional buyers
SEC issues risk alert on MSRB "pay-to-play" prohibitions
- Katten Muchin Rosenman LLP
- -
- USA
- -
- September 7 2012
On August 31, the Securities and Exchange Commission issued an alert (Risk Alert) to inform firms engaged in municipal securities business about areas of concern identified in compliance examinations with respect to Municipal Securities Rulemaking Board (MSRB) “Pay-to-Play” prohibitions
SEC issues important new Reg SHO FAQs concerning “long” and “short” order marking and locates for foreign broker-dealers
- Katten Muchin Rosenman LLP
- -
- USA
- -
- August 31 2009
On August 28, the staff of the Securities Exchange Commission’s Division of Trading and Markets ("Staff") issued three new frequently asked questions ("FAQs") relative to Regulation SHO
SEC publishes equity market structure concept release with focus on high frequency trading, co-location, market data latencies and undisplayed liquidity
- Katten Muchin Rosenman LLP
- -
- USA
- -
- January 25 2010
On January 14, the Securities and Exchange Commission (SEC or "Commission") published a concept release on a wide range of equity market structure issues, including high frequency trading, co-location arrangements, market data latencies, and undisplayed or "dark" liquidity
SEC proposes major initiative to build a consolidated audit trail for equities and options
- Katten Muchin Rosenman LLP
- -
- USA
- -
- June 10 2010
On May 26, the Securities and Exchange Commission (SEC) proposed new Rule 613, which would require the national securities exchanges and national securities associations (collectively, "SROs") to develop a consolidated audit trail
SEC proposes new market access rule and approves modifications to the sponsored access rule of the Nasdaq Stock Market
- Katten Muchin Rosenman LLP
- -
- USA
- -
- January 29 2010
On January 13, the Securities and Exchange Commission (SEC or “Commission”) proposed a market access rule that would require broker-dealers with access to trading directly on an exchange or alternative trading system (ATS)including broker-dealers providing sponsored or direct market accessto implement risk management controls and supervisory procedures designed to manage the financial, regulatory and other risks arising from such access
FINRA proposes to reinstitute short exempt marking for trade reporting and OATS
- Katten Muchin Rosenman LLP
- -
- USA
- -
- August 27 2010
On August 20, the Securities and Exchange Commission published a notice that the Financial Industry Regulatory Authority proposes to adopt rule changes to its trade reporting and Order Audit Trail System (OATS) in response to recent amendments to SEC Regulation SHO
FINRA provides guidance on broker-dealer funding and liquidity risk management practices
- Katten Muchin Rosenman LLP
- -
- USA
- -
- November 5 2010
On November 1, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 10-57 (the Notice) encouraging broker-dealers to develop and implement sound funding and liquidity risk management programs
SEC adopts new short sale price test rules
- Katten Muchin Rosenman LLP
- -
- USA
- -
- March 5 2010
On February 24, the SEC amended Regulation SHO to adopt a short sale-related circuit breaker that, if triggered, will impose a restriction on the prices at which securities may be sold short (hereafter, the "short sale price test"
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- Author - James D. Van De Graaff
- Workarea - Capital Markets
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