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Results:1-10 of 476

On point. - FINRA Communications Rules
  • Mayer Brown
  • USA
  • January 7 2019

Rule 2210 governs three categories of “communications” by FINRA member firms: institutional communications, retail communications and correspondence


Sustainable Finance Regulations, Rules, and Guidelines in the European Union and United StatesTime to Get Prepared
  • Jones Day
  • USA, European Union
  • October 31 2018

Due to the increasing awareness of the importance of environmental, social, and governance ("ESG") initiatives, the European Commission came forward


Financial Servies Regulation - Issue 36 - September 2018
  • DLA Piper
  • European Union
  • September 26 2018

On 13 June 2018, the European Banking Authority (EBA) published an important opinion (Opinion) and a consultation paper (Consultation Paper) arising


SEC Proposes to Simplify Debt Offering Disclosures
  • Kramer Levin Naftalis & Frankel LLP
  • USA
  • September 4 2018

In July, the Securities and Exchange Commission (SEC) proposed amendments to streamline financial disclosure requirements for two categories of market


ESMA temporary product intervention measures
  • Morrison & Foerster LLP
  • United Kingdom
  • August 10 2018

As we previously reported in Volume 9, Issue 3, of Structured Thoughts6, the European Securities and Markets Authority (ESMA) took a decision to


SEC Adopts New Disclosure Regime for NMS Stock ATSs
  • Sidley Austin LLP
  • 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


Investor Advocate Report
  • Mayer Brown
  • USA
  • July 11 2018

The Securities and Exchange Commission Office of Investor Advocate released its report on the objectives of the Office for Fiscal Year 2019. The


Chair Clayton’s Congressional Testimony
  • Mayer Brown
  • USA
  • June 25 2018

In his most recent testimony in Congress, the Securities and Exchange Commission Chair once again focused on retail investors. Chair Clayton cited a


SEC Proposes Interpretation of Standard of Conduct for Investment Advisers
  • Morgan Lewis
  • USA
  • June 14 2018

This LawFlash describes the key questions raised by the US Securities and Exchange Commission's new proposed interpretation of the standard of conduct


Financial Servies Update - Volume 13, NO.21 - June 4, 2018
  • Winston & Strawn LLP
  • USA
  • June 5 2018

While industry participants remain hopeful that the Securities and Exchange Commission ("SEC") and other U.S. regulatory bodies will provide more