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SEC Adopts Amendments to Electronic Recordkeeping Requirements for Broker-Dealers and Security-Based Swap Dealers

USA - November 29 2022 On October 12, 2022, the Securities and Exchange Commission (SEC or Commission) voted to adopt amendments to the electronic recordkeeping…

Eliza Gonzalez, Yoon-Young Lee

SEC Brings First Identity Theft Enforcement Actions Since 2018

USA - August 3 2022 On July 27, 2022, the SEC charged three broker dealers for violations of the Identity Theft Red Flags Rule (also known as “Regulation S-ID”), with…

Yoon-Young Lee, Stephanie Nicolas, Susan Schroeder

SEC proposes new rules defining “dealer” status: Proposal seeks to clarify when unregistered firms engaged in market-making and liquidity-providing activities may need to register as dealers

USA - April 6 2022 On March 28, 2022, the Securities and Exchange Commission (SEC) proposed new Rules 3a5-4 and 3a44-2 under the Securities Exchange Act of 1934…

Stephanie Nicolas, Andre E. Owens, Tiffany J. Smith, Kyle P. Swan

SEC proposes significant new regulatory obligations for communication protocol systems and government securities ATSs

USA - February 7 2022 The Securities and Exchange Commission (SEC) proposed significant changes to the regulation of securities trading systems that use non-firm trading…

Aaron Friedman, Twane Harris, Andre E. Owens, Tiffany J. Smith, Cherie Weldon

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