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FINRA Issues Report on Recent Examinations

USA - December 17 2018 On December 6, the Financial Industry Regulatory Authority (FINRA) published its “2018 Report on FINRA Examination Findings” (Report). The Report...

Michael R. Trocchio, Kevin J. Campion, Andrew J. Sioson, W. Hardy Callcott, Michael D. Wolk, Timothy B. Nagy.


U.S. Securities and Exchange Commission Adopts Rules to Enhance Order Handling Information Available to Investors

USA - November 13 2018 On November 2, the U.S. Securities and Exchange Commission (SEC) voted to adopt amendments requiring broker-dealers to provide investors with new and...

Michael R. Trocchio, Andrew J. Sioson, Andrew P. Blake, W. Hardy Callcott, Michael D. Wolk, Timothy B. Nagy.


SEC Adopts New Disclosure Regime for NMS Stock ATSs

USA - August 1 2018 On July 18, the U.S. Securities and Exchange Commission (SEC) voted unanimously to adopt amendments to Regulation ATS1 that would require alternative...

Charles A. Sommers, Michael D. Wolk.


Volcker RuleChanges Proposed by U.S. Federal Agencies

USA - June 7 2018 The five U.S. federal agencies that are principally responsible for banking and financial market regulation in the United States (collectively, the...

Michael D. Lewis, William Eckland, Connie M. Friesen, Kenneth A. Kopelman, William Shirley, Benson R. Cohen.


SEC Proposes New Standard of Care for Broker-Dealers: Overview and Considerations for Investment Professionals

USA - May 9 2018 On April 18, 2018, the U.S. Securities and Exchange Commission (SEC) released for comment three proposals intended to enhance the standard of...

Laurin Blumenthal Kleiman, John A. Mackinnon, Stephen L. Cohen, Andrew J. Sioson, W. Hardy Callcott.