Andrew P. Blake
Sidley Austin LLP
Articles
FINRA Issues 2023 Report on Its Examination and Risk Monitoring Program
USA - January 30 2023 On January 10, 2023, the Financial Industry Regulatory Authority (FINRA) published its 2023 Report on its Examination and Risk Monitoring Program…
James Brigagliano, W. Hardy Callcott, Neal E. Sullivan, Corin R. Swift, Lara C. Thyagarajan, Paul M. Tyrrell, Michael D. Wolk
SEC Proposes Comprehensive Best Execution Framework for Broker-Dealers
USA - December 29 2022 On December 14, 2022, the U.S. Securities and Exchange Commission (SEC) proposed rules that would establish SEC best execution rules and impose…
James Brigagliano, W. Hardy Callcott, Kevin J. Campion, Timothy B. Nagy, John I. Sakhleh, Lara C. Thyagarajan, Michael D. Wolk
SEC Proposes Rules Related to Minimum Pricing Increments, Access Fee Caps, and Transparency of Better Priced Orders
USA - December 29 2022 On December 14, 2022, the U.S. Securities and Exchange Commission (SEC) proposed rules that would establish variable minimum pricing increments, or…
James Brigagliano, W. Hardy Callcott, Kevin J. Campion, Timothy B. Nagy, John I. Sakhleh, Lara C. Thyagarajan, Michael D. Wolk
SEC Proposes Amendments to Modernize Disclosure of Order Execution Information
USA - December 29 2022 On December 14, 2022, the U.S. Securities and Exchange Commission (SEC) proposed amendments to update the disclosures required under Rule 605 of…
James Brigagliano, W. Hardy Callcott, Kevin J. Campion, John I. Sakhleh, Andrew J. Sioson, Lara C. Thyagarajan, Michael D. Wolk
SEC Proposes Rule to Enhance Competition for Certain Individual Investor Orders
USA - December 29 2022 On December 14, 2022, the U.S. Securities and Exchange Commission (SEC) proposed a rule to require so called “segmented orders” of natural persons in…
James Brigagliano, W. Hardy Callcott, Kevin J. Campion, Timothy B. Nagy, John I. Sakhleh, Lara C. Thyagarajan, Michael D. Wolk
