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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


SEC Proposes Standard of Conduct for Broker-Dealers and Interpretation Regarding Standard of Conduct for Investment Advisers
  • Sullivan & Cromwell LLP
  • USA
  • May 10 2018

On April 18, 2018, the Securities and Exchange Commission (“SEC”) voted 4 to 1 to approve a package of proposed rules and interpretations with the


Retail Client Confusion Regarding Broker-Dealers and Investment Advisers: Call Me by Your Name
  • Morrison & Foerster LLP
  • USA
  • May 3 2018

In a speech on May 2, 2018 regarding the SEC’s recent proposed broker-dealer standard of conduct, Jay Clayton, Chair of the Securities and Exchange


SEC Requests Comments On Bitcoin-Related ETF Rules
  • Drinker Biddle & Reath LLP
  • USA
  • April 30 2018

The Securities and Exchange Commission (SEC) recently called for public comment on two proposed rule changes to the Chicago Board Options Exchange


SEC Proposes Rules Addressing Broker-Dealer and Investment Adviser Standards of Conduct
  • Dechert LLP
  • USA
  • April 25 2018

The SEC proposed a new standard of conduct for broker-dealers under the Securities Exchange Act of 1934 (Exchange Act), which would require a