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2021 AML Trends and Developments

USA - February 11 2021 Anti-money laundering ("AML") issues have been a focus of regulators and law enforcement for the past decade and will likely continue to be a…

Michael Dawson, Rachel Dober, Zachary Goldman, Franca Harris Gutierrez, Boyd M. Johnson III, Alina Lindblom, Andrew Miller, Michael Romais.

SEC Proposes Amendments to Reg ATS for Government Securities ATSs

USA - December 17 2020 The Securities and Exchange Commission (SEC) proposed to amend Regulation ATS under the Securities Exchange Act of 1934 for alternative trading…

Andre E. Owens, Cherie Weldon.

SEC Amends Rule 15c2-11 to Enhance Publicly Available Information For Securities Quoted in the Over the Counter Markets

USA - October 29 2020 The Securities and Exchange Commission (SEC) has amended Rule 15c2-11 (the amended Rule), which governs the publication of quotations in the…

Preparing for Security-based Swap Dealer Registration: Comparing SEC & CFTC Regulatory Requirements

USA - September 8 2020 The Securities and Exchange Commission (SEC) security-based swap dealer rules have finally been issued, and a large amount of work will be required…

Aaron Friedman.

COVID-19: Key Issues for Broker-Dealers

United Kingdom, USA - March 26 2020 The spread of the coronavirus (COVID-19) has presented new and unique challenges for the Securities Industry. The typical “playbook” for disaster…

Daniel M. Gallagher, Jr., Yoon-Young Lee, Stephanie Nicolas.