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COVID-19 and the Derivatives Markets: What NFA Members Need to Know

USA - March 17 2020 The self-regulatory organization responds to the US derivatives market’s shift to remote working arrangements...

J. Ashley Weeks, Deric M. Behar, Carlos Alvarez, Yvette D. Valdez.

New SEC Rules Mandate Public Disclosures and Enhance NMS Stock ATS Oversight

USA - August 2 2018 ATSs that trade NMS stocks should prepare for new Form ATS-N filings requiring substantial public disclosure of their operations and their...

Vivian A. Maese, Louis Trotta, Wenchi Hu.

Is the SEC’s Proposed “Best Interest” Standard for Broker-Dealers in Anyone’s Best Interest?

USA - May 16 2018 Proposal seeks to clarify and enhance obligations applicable to a broker-dealer’s retail customer interactions, but may raise more questions than...

Dana G. Fleischman, Stephen P. Wink, Courtenay Myers Lima.

Global Developments on Best Execution

USA, Singapore, United Kingdom, Global, Hong Kong - May 3 2018 Best execution is currently a hot topic for global regulators and the past year has seen notable regulatory focus in this area. Amid this development...

Douglas K. Yatter, Rob Moulton, Nicola Higgs, Simon Hawkins, Gabriel Lakeman, Kenneth Y.F. Hui, Stephen P. Wink, Nabil Sabki, Yvette D. Valdez.

FINRA Proposes Desk Commentary Safe Harbor

USA - April 27 2017 On April 12, 2017, the Financial Industry Regulatory Authority, Inc. (FINRA) published Regulatory Notice 17-16 (RN 17-16) requesting comment on...

Dana G. Fleischman, Stephen P. Wink.