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Proposed amendments to SEC rule 15b9-1 would require most proprietary trading broker-dealers to become FINRA members

USA - April 20 2015 Consistent with the increased regulatory scrutiny of Proprietary Trading firms-and high frequency trading firms in particular—the Securities and…

James D. Van De Graaff, Janet M. Angstadt, Michael T. Foley.

SEC Adopts Trade Acknowledgement and Verification Rules for Security-Based Swaps

USA - June 10 2016 On June 8, the Securities and Exchange Commission announced the adoption of the Securities Exchange Act of 1934 (Exchange Act) Rules 15Fi-1 and…

Guy Dempsey, Stanley V. Polit.

FINRA files proposed rule change to amend margin requirements for the TBA market

USA - October 2 2015 The Financial Industry Regulatory Authority proposed to amend FINRA Rule 4210 to establish margin requirements for to-be-announced transactions…

Timothy D. Kertland.

CFTC, SEC finalize swap product definitions

USA - September 7 2012 On July 9 and 10, 2012, the Commodity Futures Trading Commission and Securities and Exchange Commission (collectively, the “Commissions”) approved joint final rules and interpretations (the “Swap Definitions”) regarding the definition and regulation of swaps, security-based swaps, mixed swaps and security-based swap agreements.

Carolyn H. Jackson, Guy Dempsey, Nathaniel Lalone.

The SEC Approves a FINRA Rule Amendment Requiring Registration of Associated Persons Who Design or Develop Algorithmic Trading Strategies

USA - April 14 2016 On April 7, the Securities and Exchange Commission (SEC) approved amendments to NASD Rule 1032(f) which will require registration as Securities…

James D. Van De Graaff, Janet M. Angstadt, Michael T. Foley.