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FINRA and MSRB Propose Shortening Trade Reporting Timeframes for Certain Fixed Income Securities Transactions

USA - August 8 2022 On August 2, 2022, the Financial Industry Regulatory Authority, Inc. ("FINRA") proposed to amend FINRA Rule 6730(a)(1) (the "FINRA Proposal") to…

Anna T. Pinedo, Stephen Vogt

SEC Division Director: Staff MiFID II Research Compensation Relief to Expire July 2023

USA - August 8 2022 Unless you attended the PLI Investment Management 2022 program on July 26, 2022, you may have missed an important announcement made by the US…

Leslie S. Cruz, Adam D. Kanter, Peter M. McCamman, Stephanie M. Monaco

SEC Rule Proposal Seeks to Clarify “Dealer” Definition for Persons Engaging in Liquidity-Providing Activities

USA - April 20 2022 On March 28, 2022, the U.S. Securities and Exchange Commission ("SEC") proposed two new rules SEC Rules 3a5-4 and 3a44-2 (the "Proposed Rules") that…

Anna T. Pinedo, Stephen Vogt

US Securities and Exchange Commission Division of Examinations 2022 Exam Priorities

USA - April 14 2022 On March 30, 2022, the Division of Examinations of the US Securities and Exchange Commission (the “Division” and “SEC,” respectively) announced its…

Leslie S. Cruz, Adam D. Kanter, Wonji L. Kim, Peter M. McCamman, Stephanie M. Monaco, Anna T. Pinedo, Stephen Vogt

FINRA Releases Notice on Complex Products and Options

USA - March 11 2022 Evolving Retail Customer Access to These Products Raises Heightened Regulatory and Investor Protection Concerns On March 8, 2022, the Financial…

Bradley Berman, Anna T. Pinedo, Stephen Vogt