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SEC Proposes Amendment to Expedite Settling Securities Transactions

USA - September 30 2016 On September 28, the Securities and Exchange Commission proposed amending SEC Rule 15c6-1 to shorten the settlement cycle for securities transactions...

SEC Adopts Rules for Enhanced Regulatory Framework for Securities Clearing Agencies

USA - September 30 2016 On September 28, the Securities and Exchange Commission adopted rules enhancing standards for securities clearing agencies deemed systemically...

FINRA Proposes Rule to Modify Fees and Transaction Credits for the FINRANYSE Trade Reporting Facility

USA - September 30 2016 On September 28, the Financial Industry Regulatory Authority proposed an amendment to modify fees and transaction credits applicable to FINRA members...

CFTC Staff Issues No-Action Letter Relating to Yieldbroker PTY Limited’s Relief From SEF Registration Requirements

USA - September 16 2016 On September 14, the Commodity Futures Trading Commission's Divisions of Market Oversight and Swap and Intermediary Oversight issued Staff Letter...

Stanley V. Polit.

SEC Adopts Amendments to Rules on Access to Data Obtained by Security-Based Swap Data Repositories

USA - September 2 2016 On August 29, the Securities and Exchange Commission announced the adoption of amendments to the Securities Exchange Act of 1934 (Exchange Act) Rule...

Dina Wegh.