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Broker-Dealer Settles Charges for Inaccurately Reporting Order Routing Information

USA - November 22 2022 A broker-dealer settled FINRA charges for inaccurately reporting information pertaining to the routing of non-directed orders in national market…

SEC Amendments to Electronic Recordkeeping Requirements for Broker-Dealers and Security-Based Swap Dealers (Including Bank SBSDs)

USA - October 25 2022 The SEC has adopted amendments (the “Amendments”) to its broker-dealer (“BD”) and security-based swap dealer (“SBSD”; and together with BDs…

Steven Lofchie

SEC and CFTC Sweep Uncovers "Egregious Misconduct" Related to Off-Channel Business Communications

USA - September 27 2022 Sixteen dually registered entities settled SEC and CFTC charges for recordkeeping and supervision violations related to "off-channel" communications…

Steven Lofchie

SEC and CFTC Propose Additional Amendments to Form PF

USA - August 18 2022 On August 10, 2022, the Securities and Exchange Commission (“SEC”) and Commodity Futures Trading Commission (“CFTC”) proposed additional amendments…

Jessica Forbes, Philip Heimowitz, Mark Highman

The Digital Assets Bill: Lummis-Gillibrand Responsible Financial Innovation Act

USA - June 10 2022 On Monday, June 6, 2022, U.S. Senators Cynthia Lummis (R-WY) and Kirsten Gillibrand (D-NY) published a draft of their jointly sponsored Responsible…

Steven Lofchie, Jason Schwartz