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FINRA Publishes 2022 Report on Its Examination and Risk Monitoring Program

USA - February 15 2022 On February 9, 2022, the Financial Industry Regulatory Authority, Inc. ("FINRA") published its 2022 Report on FINRA's Examination and Risk Monitoring…

Anna T. Pinedo, Stephen Vogt

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 Municipal Advisor Examination Observations

USA - August 25 2022 On August 22, 2022, the Division of Examinations (the "Division") of the U.S. Securities and Exchange Commission ("SEC") published a risk alert (the…

Leslie S. Cruz, Anna T. Pinedo, Stephen Vogt

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

SEC Adopts Amendments to Electronic Recordkeeping Requirements for Broker-Dealers and Security-Based Swap Entities

USA - October 25 2022 On October 12, 2022, the US Securities and Exchange Commission ("SEC") adopted amendments to the electronic recordkeeping requirements under Rule…

Anna T. Pinedo, Nicolas E. Rodriguez, Stephen Vogt