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FINRA proposes rules affecting broker-dealers participating in private placements

Katten Muchin Rosenman LLP
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USA
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January 14 2011

The Securities and Exchange Commission is requesting comments on a proposal to expand Financial Industry Regulatory Authority Rule 5122 to apply to all private placements in which a member firm participates, not just those in which the member firm (or its control entity) is the issuer

Industry groups respond to DOJ recommendation regarding tighter ownership restrictions for DCMs, DCOs and SEFs

Katten Muchin Rosenman LLP
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USA
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January 14 2011

The ABA Securities Association, the Clearing House Association, the Financial Services Roundtable, the Futures Industry Association, the International Swaps and Derivatives Association, and the Securities Industry and Financial Markets Association (the Industry Groups) have submitted a comment letter with the Commodity Futures Trading Commission in response to a comment letter submitted by the U.S. Department of Justice (DOJ) urging the implementation of more-stringent rules relating to ownership and conflicts of interest for designated contract markets (DCMs), derivatives clearing organizations (DCOs) and swap execution facilities (SEFs

SEC approves consolidated know-your-customer and suitability rules

Katten Muchin Rosenman LLP
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USA
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January 14 2011

The Securities and Exchange Commission has approved the Financial Industry Regulatory Authority's proposal to adopt consolidated rules governing know-your-customer and suitability obligations

FINRA expands OATS to all NMS stocks

Katten Muchin Rosenman LLP
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USA
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January 14 2011

Beginning July 11, the Financial Industry Regulatory Authority will begin phasing in the expansion of the Order Audit Trail System (OATS) rules to include orders for all national market system (NMS) stocks

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Author - Guy C. Dempsey Jr.
Author - Kevin Foley
Author - Jack P. Governale
Workarea - Capital Markets