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FOCUS Report No-Action Relief Granted

USA - October 31 2018 The staff of the Securities and Exchange Commission’s (SEC) Division of Trading and Markets (Staff) issued a no-action letter on October 29 to the...

Ignacio A. Sandoval.


On the Horizon? SEC Financial Responsibility Rules for Security-Based Swap Dealers and Major Security-Based Swap Participants

USA - October 4 2018 On October 11, 2018, the Securities Exchange Commission (SEC) will have an open meeting to consider whether to reopen the comment period and request...

Ignacio A. Sandoval.


To Be Delayed: Final Implementation of FINRA Rule 4210 for Covered Agency Transactions Delayed

USA - April 20 2018 In what seems to be déjà vu, broker-dealers can (again) breathe a collective sigh of relief. The Financial Industry Regulatory Authority (FINRA) has...

Ignacio A. Sandoval.


To Be Announced: Implementation of FINRA Rule 4210 for Covered Agency Transactions

USA - September 20 2017 Broker-dealers can breathe a collective sigh of relief. The Financial Industry Regulatory Authority, Inc. (FINRA) has filed a rule change with the...

Ignacio A. Sandoval.


Nevada Imposes Fiduciary Obligations on Broker-Dealers and Investment Advisers

USA - June 23 2017 On June 2, Nevada Governor Brian Sandoval approved amendments (the "June 2017 Amendments") to the Nevada financial planner statute (NRS 628A) to...

Amy Natterson Kroll, Monica L. Parry.