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FINRA Identifies Opportunities and Potential Issues With RegTech in White Paper
  • Katten Muchin Rosenman LLP
  • USA
  • September 16 2018

The Financial Industry Regulatory Authority issued a white page discussing regulatory technology developments in the Securities Industry


Feeling Blue (Sheets): Broker-Dealer Resolves SEC Enforcement Action for Faulty Electronic Regulatory Submissions for US $2.75 Million Fine
  • Katten Muchin Rosenman LLP
  • USA
  • September 16 2018

The Securities and Exchange Commission brought and settled an enforcement action against Convergex Execution Solutions


SEC Releases Statement on Expiration of Tick Size Pilot
  • Katten Muchin Rosenman LLP
  • USA
  • September 14 2018

On September 10, the Securities and Exchange Commission announced the early expiration of its Tick Size Pilot Program. Under the program, the minimum


Recent Development in Regulatory Enforcement of Digital Securities
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • September 12 2018

In a flurry of activity and confluence of developments, the SEC, FINRA and a Brooklyn federal judge have commenced actions and made rulings that


Financial Services Update, Vol. 13, Issue 33
  • Winston & Strawn LLP
  • USA
  • September 10 2018

It is estimated that more than $370 trillion worth of bonds, loans, derivatives and other instruments are linked to LIBOR or another interbank


FINRA Implements Revised Qualification Examinations October 1
  • Katten Muchin Rosenman LLP
  • USA
  • September 9 2018

The Financial Industry Regulatory Authority’s new licensing regime for individuals and corresponding revised fee schedules will go into effect on October 1...


Amended FINRA Registration Rules To Take Effect October 1
  • Katten Muchin Rosenman LLP
  • USA
  • September 7 2018

Amended Financial Industry Regulatory Authority registration, qualification and continuing education rules will become effective on October 1. The


CFTC Amends Rules to Simplify CCO Duties and Annual Report Obligations of FCMs, SDs and MSPs
  • Katten Muchin Rosenman LLP
  • USA
  • September 4 2018

The Commodity Futures Trading Commission proposed amendments to its rule that details the requirements of chief compliance officers of Futures


Statement on Status of the Consolidated Audit Trail
  • Katten Muchin Rosenman LLP
  • USA
  • August 31 2018

On August 27, the Securities and Exchange Commission’s Division of Trading and Markets issued a public statement on the status of the consolidated


FINRA Fines Broker-Dealer $5.5 Million For Violations Of Regulation SHO
  • Shearman & Sterling LLP
  • USA
  • August 28 2018

On August 20, 2018, the Financial Industry Regulatory Authority (“FINRA”) announced that it fined a FINRA-regulated broker-dealer $5.5 million over