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2,131 results found

Article

Sidley Austin LLP | USA | 18 Mar 2019

Custody of digital asset securities: a proposal to address open questions for broker-dealers under the SEC’s customer protection rule

U.S. Securities and Exchange Commission (“SEC”) staff has recognized that blockchains, or distributed ledger technology, could be used to issue and

Article

Sidley Austin LLP | USA | 18 Sep 2018

One-Two-Three Punch: SEC and FINRA Announce Actions Against Unregistered Broker, Digital Asset Manager and FINRA Registered Person

On September 11, the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) separately announced three “first of

Article

Mayer Brown | USA | 16 Jul 2018

Securities-related Bills Approved by House Financial Services Committee

The House Financial Services Committee met last week and approved eight capital formation-related bills. The bills require the Securities and Exchange

Article

Mayer Brown | USA | 13 Jul 2018

Guidance on Direct Listings: NYSE Memo and FINRA Notice 18-11

On February 2018, the Securities and Exchange Commission (“SEC”) approved the New York Stock Exchange’s (the “NYSE”) proposal to permit qualifying

Article

Bressler, Amery & Ross PC | USA | 22 Jun 2018

Key Takeaways from the 2018 UNC Compliance and Legal Boot Camp

On June 11 and 12, 2018, the UNC School of Law’s Center for Banking and Finance hosted a two-day “Boot Camp” covering a variety of compliance and

Article

Winston & Strawn LLP | USA | 5 Jun 2018

Financial Servies Update - Volume 13, NO.21 - June 4, 2018

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

Article

Venable LLP | USA | 14 May 2018

Finders and Unregistered Broker-Dealers

In the last few years, we have seen a number of important developments in the securities laws related to finders and broker-dealer registration

Article

Morgan Lewis | USA | 20 Apr 2018

SEC Proposes Standards of Conduct for Broker-Dealers, Investment Advisers

In a first step toward developing standards for advice to retail customers, the Securities and Exchange Commission recently proposed rules and

Article

Schulte Roth & Zabel LLP | USA | 7 Apr 2018

New FINRA Registration Requirement for Algo Traders Implications for broker dealers and investment advisers

On 7 April 2016, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority's proposed amendments to NASD Rule 1032

Article

Dechert LLP | USA | 3 Apr 2018

SEC Issues Statement on Potentially Unlawful Online Platforms for Trading Digital Assets

The staff of the Divisions of Enforcement and Trading and Markets (collectively, Staff) of the U.S. Securities and Exchange Commission (SEC) on March

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