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6,199 results found

Article

K&L Gates | USA | 20 May 2020

COVID-19: NYSE and Nasdaq Relax Listing Requirements in Response to Volatile COVID-19 Economy

The New York Stock Exchange (NYSE) and the NASDAQ Stock Market (Nasdaq) have recently taken action to assist issuers in remaining compliant with…
Article

Proskauer Rose LLP | USA | 20 May 2020

Cybersecurity: Threats, Consequences, and the Regulatory Framework

In today’s world, cybersecurity breaches and threats are pervasive concerns for any business entity, without exception. Working from home…
Article

Morgan Lewis | USA | 20 May 2020

Change in the US Regulatory Status of the KRX300 Futures Contract

Effective July 1, 2020, the KRX300 (a Korean Large-Cap Index) Futures Contract will no longer be considered a broad-based security index futures…
Article

Cadwalader Wickersham & Taft LLP | USA | 19 May 2020

SEC Grants No-Action Relief Relating to Certain Bank Sweep Receivables

The SEC Division of Trading and Markets ("DTM") granted no-action relief regarding the net capital treatment of certain receivables from bank sweep…
Article

Shearman & Sterling LLP | USA | 19 May 2020

US broker-dealer liquidity in the time of financial crisis

As the financial markets react to the COVID-19 pandemic,[1] broker-dealers are increasingly looking for mechanisms to increase liquidity. Complicating…
Article

Cadwalader Wickersham & Taft LLP | USA | 19 May 2020

SEC Provides Relief for Broker-Dealers Acting as Agents for TALF

The SEC provided conditional exemptive relief from certain credit-arranging prohibitions under Exchange Act Section 11(d) to broker-dealers…
Article

Cadwalader Wickersham & Taft LLP | USA | 19 May 2020

Broker-Dealer Settles FINRA Charges for Special Reserve Account Deficiencies

A broker-dealer settled FINRA charges for failing to maintain a sufficient balance in its "Special Reserve Bank Account for the Exclusive Benefit of…
Article

Cadwalader Wickersham & Taft LLP | USA | 19 May 2020

Broker-Dealer Settles FINRA Charges for Regulation NMS Violations

A broker-dealer settled FINRA charges for publishing inaccurate order execution information in monthly reports in violation of Regulation NMS Rule…
Article

Cadwalader Wickersham & Taft LLP | USA | 19 May 2020

SEC Designates FINRA as Organization to Receive SBS Entity FOCUS Reports

The SEC designation does not indicate that FINRA will have a substantive role in reviewing FOCUS Reports submitted by non-broker-dealer SBSDs. (The…
Article

Mintz | USA | 19 May 2020

NYSE Temporarily Eases Certain Shareholder Approval Requirements as a Result of Coronavirus (COVID-19)

On May 14, 2020, the Securities and Exchange Commission (“SEC”) approved changes to the NYSE Listed Company Manual to provide a temporary exception to…
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